The NFA ordered a company to withdraw permanently from NFA membership, and to refrain from acting as the principal of an NFA member, due to allegations of NFA supervisory, capital and recordkeeping violations.

The Senate Committee on Banking, Housing and Urban Affairs conducted a hearing on President Obama's nominations for SEC Commissioners: Lisa M. Fairfax and Hester Maria Peirce.

The SEC approved a plan that was proposed jointly by FINRA and the International Securities Exchange Mercury, LLC to allocate the regulatory responsibilities of each of the two respective organizations.

The CFTC announced that certain banking entities subject to Volcker Rule requirements should submit CEO attestations directly by email.

The SEC solicited comments on the MSRB-proposed amendment to modernize the mathematical formula that calculates the dollar price of interest-bearing municipal securities with periodic interest payments (e.g., daily, monthly, quarterly or annually) that have more than six months to redemption.