The CFTC has announced an opportunity for public comment on a proposed collection of information by the CFTC's Office of Consumer Outreach ("OCO"). OCO develops campaigns to change consumer behaviors so that consumers can better avoid fraud as defined under the CEA. The CFTC is posing survey questions to the public. This survey will include screening questions to identify the correct respondents and questions to determine the optimal messages to help consumers identify, avoid and report financial fraud as part of a consumer-facing anti-fraud campaign. See: 78 FR 64202.

The Asset Management Group of SIFMA (SIFMA AMG) submitted the attached comment letter to the CFTC in which it expressed significant concerns regarding straight-through processing, swap execution facility (SEF) implementation and relief relating to the aggregation provision in the final block trade rule. In addition, SIFMA AMG requested an extension of certain no-action letters issued by CFTC staff relating to the implementation of the CFTC SEF final rules until at least February 1, 2014. SIFMA further requested further no-action relief (through March 31, 2014) relating to the aggregation

FINRA released the attached information letter in order to amend Form U-4 (the form on which employees are registered). The amended form updates the Judgment/Lien Disclosure Reporting Page (DRP) to add a question regarding the date a registered person learns of an unsatisfied judgment or lien. The amendments are effective October 26, 2013. See : FINRA Information Notice.

The CFTC's Division of Clearing and Risk ("DCR") and Division of Market Oversight ("DMO") (together, "the Divisions") provided time-limited relief for SEFs from compliance with certain requirements of CFTC Rules 37.9(a)(2) ("Methods of execution for required and permitted transactions – Execution methods") and 37.203(a) ("Rule enforcement program – Abusive trading practices prohibited") in connection with broken trades. The Divisions announced that they will not recommend action against a SEF for failure to comply with Rule 37.9(a)(2) regarding methods of execution for required or permitted

In a speech before the Independent Directors Council, SEC Director of the Division of Investment Management ("Division") Norm Champ focused on the following key items: (i) the role of independent directors in protecting investors, (ii) improvement initiatives within the Division, with particular focus on the newly created Risk and Examinations Office, and (iii) communication between independent directors and the Division regarding fund governance. Director Champ outlined the central role of mutual funds for the average American investor. In emphasizing the SEC's main mission of "protecting