The NFA Board of Directors approved an annual dues surcharge for specific member firms engaged in swaps activities.

CFTC Division of Swap Dealer and Intermediary Oversight Director Matthew Kulkin described the agency's efforts to reduce costs of compliance and improve market quality.

The NFA adopted amendments to its Compliance Rules and Interpretive Notices to cover transactions and counterparties involving swaps.

The NFA proposed incorporating certain supervisory requirements and technical amendments that concern swap activities in its Compliance Rules and Interpretive Notices.

An CFTC final rule allowing exceptions from the requirement that "covered persons" must send annual privacy notices to customers was published in the Federal Register.

The CFTC adopted rule changes allowing exceptions from the requirement that "covered persons" must send customers annual privacy notices.

The SEC Office of Compliance Inspections and Examinations urged registrants to review their written policies concerning privacy of consumer financial information and safeguarding personal information.

The New Jersey Bureau of Securities proposed a uniform fiduciary standard for financial professionals.

The SEC named Sara Cortes and David P. Bartels as Deputy Chief Counsels of the Division of Investment Management.

In a letter to specific parties, the SEC Division of Corporation Finance clarified how a broker-dealer may satisfy certain prospectus delivery obligations.