A FINRA proposal to amend rules requiring FINRA members to identify broker-dealers who are not themselves FINRA members, but who send orders to reporting FINRA members, was published in the Federal Register.

The Senate Homeland Security and Governmental Affairs Committee published a report by its majority staff that examined the process that led to the DOL's fiduciary rulemaking on retirement plans.

The CFTC requested public comments on a petition by a derivatives clearing organization ("DCO") for an order permitting portfolio margining of futures and foreign futures contracts and cleared swaps contracts.

FINRA asked member firms to submit information concerning their respective "cultures" in order to review how they "establish, communicate and implement cultural values, and whether cultural values are guiding business conduct."

In testimony before the House Subcommittee on Commodity Exchanges, Energy and Credit, CFTC Director of Data and Technology John Rogers reviewed progress toward achieving G-20 swap data reporting goals and outlined initiatives to improve the accuracy, efficiency and timeliness of data reporting.