The CFTC's new rules on Ownership and Control Reports, and related Forms 102/102S, 40/40S, and 71 to enhance its identification of futures and swap market participants, have been published in the Federal Register. The final rules are intended to leverage the CFTC's current position and transaction-reporting programs by requiring the electronic submission of trader identification and market participant data on amended Forms 102 and 40 and on new Form 71. The new and amended forms require the reporting of certain trading accounts active on reporting markets that are designated contract markets

The SEC published a notice soliciting comments regarding proposed amendments to: FINRA Rule 8312 (FINRA BrokerCheck Disclosure) to (i) include in BrokerCheck information about members and their association persons of any registered national securities exchange that uses the Central Registration Depository ("CRD") for registration purposes, and (ii) expand the categories of civil judicial disclosures that are permanently available in BrokerCheck. We previously reported these rule filings on November 1and November 4. See: SEC Release Nos. 34-70876 and 34-70880.

The SEC Division of Trading and Markets issued no-action relief to Computershare Investor Services (Jersey) Limited ("CPU Jersey"). The letter is in response to CPU Jersey's request that the SEC not recommend enforcement action regarding CPU being an unregistered transfer agent where CPU Jersey provides limited transitional services to Eros International PL for the purpose of enabling the transfer of Eros ordinary shares held in a CREST system to a new share account registered to be maintained in the United States by CPU US, a U.S.-based transfer agent which is registered with the SEC. See

CME Group, Futures Industry Association ("FIA"), and The Institute for Financial Markets, and National Futures Association ("NFA") announced the release of a study on the economic feasibility of adopting an insurance regime for the U.S. futures industry. The study was conducted by Compass Lexecon, a consulting firm, by examining four models for providing customer asset protection insurance ("CAPI") for losses arising from the failures of futures commission merchants ("FCMs"). The study involved developing quantitative estimates for the potential costs of two models in particular, based on

The GAO released the first of a two-part report examining the various aspects of government support in bank holding companies since the financial crisis. This report focused on the progress that the government has made (limited progress) towards preventing itself from providing special help to banks in the event of another financial or liquidity crisis. In this report, the GAO examines (i) actual government support for banks and bank holding companies during the financial crisis, and (ii) recent statutory and regulatory changes related to government support for banks and bank holding companies