FINRA reminded broker-dealers and over-the-counter derivatives dealers that they may file their required annual and supplemental reports electronically with the SEC through its Electronic Data Gathering, Analysis and Retrieval system.

SEC Enforcement Division Director Andrew Ceresney provided an overview of the Division's work on issuer reporting and disclosure. He discussed the changing context and complexity of violations and enforcement actions over time.

The NFA updated its regulatory requirements for futures commission merchants, introducing brokers, commodity pool officers and commodity trading advisors.

The NFA barred one of its members permanently from membership and from acting as the principal of an NFA member. The barred member is an introducing broker located in New York City.

CFTC Chair Timothy Massad updated key issues currently before the CFTC and detailed progress on updates on various current issues being addressed by the CFTC.