FINRA released an investor alert, titled "The IRA Rollover: 10 Tips to Making a Sound Decision," that is intended to help a public investor decide if an IRA rollover is right for him or her. FINRA provides the following tips: evaluate transfer options; minimize taxes by rolling Roth to Roth and traditional to traditional; think twice before doing an indirect rollover; be wary of "free" or "no fee" claims; realize that conflicts of interest exist; compare investment options and other services; understand fees and expenses; engage in a thoughtful discussion with a financial or tax professional

The National Futures Association ("NFA") issued a notice soliciting comments on the concept of imposing a capital requirement on CPO and CTA Members as well as other customer protection measures. According to the Notice, of the 26 Member Responsibility Actions issued by the NFA in the past three years, 92 percent were against CPO and/or CTA members and these measures typically involved misusing customer funds and misstating net asset values or performance information. In light of these actions, the NFA seeks to strengthen the current CPO and CTA regulatory structure to provide greater

FINRA issued an immediately effective proposal to adopt FINRA Rule 7640A ("Data Products Offered by Nasdaq"). The new rule describes FINRA's practices relating to the distribution of market data for OTC transactions in National Market System ("NMS") stocks generated through the FINRA/Nasdaq trade reporting facility. See: Text of Proposed Rule Change.

FINRA filed Amendment No. 1 with the SEC to respond to comment letters and to suggest additional clarifying guidance, including adding supplementary material, to its proposed rules to require Alternative Trading Systems ("ATS") to report volume information to FINRA and use unique market participant identifiers. The SEC published a notice and order of the amendment to solicit comments and approve the proposed rule change on an accelerated basis. See: SEC Notice of Amendment and Request for Comments. Related news: FINRA Files Proposed Rule Change Regarding Reporting Volume Information for

The CFTC Division of Market Oversight ("DMO") certified trueEX, LLC's ("trueEX") self-certification of certain interest rate swap contracts that have been made available-to-trade ("MAT Determinations"). The CFTC stated that swaps subject to MAT Determinations, whether offered by trueEx 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 Commission; Transaction in Interstate Commerce") 30