Committee on Agriculture Chairwoman Deborah Stabenow (D-MI) and ranking member Thad Cochran (R-MS) convened a hearing to consider the reauthorization of the CFTC. Recommendations made by the public and stakeholders regarding CFTC reauthorization are now public and available for viewing on the Committee on Agriculture's website. The hearing will feature testimony from the following market participants and stakeholders, who will address issues related to the CEA and the CFTC generally: Panel I: The Honorable Kenneth E. Bentsen Jr., President, SIFMA (prepared statement); Mr. Terrence A. Duffy

NASAA has released a notice of request for public and internal comment on the proposed changes to the Judgement-Lien Disclosure Reporting Page ("DRP") on Form U4. The proposed change to Form U4 would add a second question to Item 4 and more closely align the disclosure of a judgment/lien to when an individual learns of the information. The comment period will remain open until August 19, 2013. See: Judgment/Lien DRP with Proposed Additions PDF; NASAA Press Release.

The CME Group Executive Chairman and President, Terry Duffy, is scheduled to testify before the U.S. Senate Agriculture Committee hearing, "Reauthorization of the CFTC." See : Senate Agriculture Committee Hearing Overview. See also : CME Group News Release.

The SEC announced the schedule for its upcoming Compliance Outreach Program regional seminars in several cities around the country for investment adviser and investment company senior officers, including chief compliance officers. The seminars highlight areas of focus for compliance professionals and provide an opportunity for the SEC staff to identify common issues found in related examinations or investigations. The series of regional seminars began in Boston on May 16. The remaining 2013 seminar schedule is as follows: Chicago - August 28: Overview of the examination process, including how

The SEC has published in the Federal Register a final rule permitting a registered broker-dealer to engage in retail forex business. The SEC is adopting Rule 15b12-1 "Municipal Securities" under the Exchange Act permitting a registered broker-dealer to engage in retail forex transactions.Click here to view our original story on registered broker-dealers engaging in forex business (with Zwirb Comment). See: 78 FR 42439.