FINRA issued a notice publishing a new tiered rate schedule for processing unit fees, intermediary unit fees, beneficial ownership and non-objecting beneficial owner fees, preference management fees, and notice and access fees regarding FINRA Rule 2251 ("Forwarding of Proxy and Other Issue-Related Materials"). The immediately effective amendments to FINRA Rule 2251 were filed on December 31, 2013, and pertain to rates of reimbursement for expenses incurred in forwarding proxy and other issuer-related material, as well as the establishment of a five-year fee for the development of an enhanced

The CFTC Division of Market Oversight ("DMO") certified MarketAxess SEF Corporation's ("MarketAxess") self-certification of certain credit default swap ("CDS") contracts that have been made available to trade ("MAT Determinations"). The CFTC stated that swaps which are subject to MAT Determinations, whether offered by MarketAxess or any other swap execution facility ("SEF") or designated contract market ("DCM"), will become subject to the trade execution requirement under CEA Section 2(h)(8) ("Jurisdiction of Commission; Liability of Principal for Act of Agent; Commodity Futures Trading

The SEC announced and settled charges with a firm for failing to provide complete and accurate information about trades done by the firm and its customers, commonly known as "blue sheet" data. See: SEC Order; Press Release.

The SEC charged the former director of internal audit at a health care information technology company with insider trading ahead of the release of the company's financial results, and with making more than a quarter-million dollars in illicit profits. The SEC alleged that Steven M. Dombrowski learned confidentially through his job at Allscripts Healthcare Solutions that the company's first quarter 2012 financial results were much worse than expected and that the company would miss its earnings target. Despite a company-imposed blackout period on trading its securities, Mr. Dombrowski secretly

The National Futures Association ("NFA") announced the results of its Board of Directors elections in the categories of (i) commodity pool operators and commodity trading advisors, (ii) futures commission merchants, (iii) introducing brokers and (iv) swap dealer/major swap participant representatives. All Board members serve two-year terms. At its meeting on February 20, the Board will elect six individuals to serve as public representatives. See : NFA Press Release.