FINRA clarified its interpretations for margin rules on counting day trades and pattern day trading.

The hullabaloo surrounding the run-up in the price of GameStop and the activities of Robinhood Markets, Inc. have generated front page news, calls for action, and allegations of wrongdoing.

The CFTC published in the Federal Register on April 28, 2011 a notice of proposed rulemaking that would establish initial and variation margin requirements for uncleared swaps. The comment period closed on July 11, 2011. View notice in full here(links externally to CFTC website).

Andrey C. Hicks; IA-3388 Date: 04/03/2012 Locust Offshore Management, LLC; IA-3389 Date: 04/03/2012 Kenneth E. Marsh, Baldwin Anderson, Robert Anthony Budion, Jeanne M. Lada, and James T. Levier; IA-3391 Date: 04/04/2012

View letter here. Date : 03/20/2012 The CFTC's Division of Market Oversight issued a letter to market participants providing temporary and conditional no-action relief for less than fully compliant reporting under the CFTC's large trader reporting system for physical commodity swaps and swaptions...

View study here. Release Date : 03/20/2012 Cross-Reference Dodd-Frank § 1061

View study here. Release Date: 03/15/2012 Cross References: Dodd-Frank § 153

The latest SEC Enforcement Action concerning the Investment Advisers Act -- Jason Pflaum; IA-3380 (released 03/07/2012).