The House Financial Services Committee held a meeting to consider the markups of bills relating to Regulation D under the banking law, the Bank Holding Company Act, and the Federal Reserve Accountability and Transparency Act. The Regulation D Study Act (H.R. 3240), which would instruct the Comptroller General of the United States to study the impact of Regulation D on depository institutions, consumers and monetary policy, including the requirement that depository institutions maintain reserves in accordance with the Federal Reserve Act and Regulation D, was agreed to by a voice vote. A voice

The NASDAQ OMX Group and trueEX Group LLC, a CFTC-regulated exchange for interest rate swaps ("trueEx"), announced a five-year partnership during which NASDAQ OMX will provide the SMARTS Integrity market surveillance platform to trueEX.

FINRA filed two separate proposals with the SEC to revise the content outline and selection specifications for the General Securities Principal Sales Supervisor Module ("Series 23") and the General Securities Principal ("Series 24") examination programs. The proposed revisions to both of the examination programs would update the material to reflect changes to the laws, rules and regulations covered by the examination and to incorporate the functions and associated tasks currently performed by a General Securities Principal. In addition, FINRA is proposing to make changes to the format of the

SIFMA, ISDA and the Institute of International Bankers (the "Associations") submitted a response to the CFTC's second notice of supplemental authority, which brought the Court's attention to the July 11, 2014 decision in National Mining Association v. McCarthy (" NMA"). According to the CFTC's second notice of supplemental authority, the analysis of NMA reiterates that established law and general statements of policy are not subject to pre-enforcement judicial review under the Administrative Procedure Act, and concludes that the legal effect on regulated entities must be established to

The CFTC issued an Order to file and simultaneously settle charges against J.P. Morgan Securities LLC ("JPMS"), a registered futures commission merchant, for submitting inaccurate large trader reports. Se e: CFTC Order.