This document corrects a compliance date which appears in the preamble to a notice of final rulemaking published in the Federal Register of December 21, 2012 (77 FR 75523) regarding the Adaptation of Regulations to Incorporate Swaps - Records of Transactions. Date: This correction to the preamble is effective April 9, 2013. View Final Rule Correction in full here (links externally to CFTC website). See also: 77 FR 75523 (Fed. Reg. Version).

The SEC approved amendments, effective May 9, 2013, to FINRA Rule 6440 to expand the grounds upon which FINRA may halt trading and quotations in OTC Equity Securities to include notice to FINRA of a foreign regulatory halt for news pending, including notice from a reliable third-party source, and to extend beyond ten business days a halt initiated for an extraordinary event . View Notice in full here (links externally to FINRA website).Related Item: FINRA Rule 6440.

FINRA released its podcast for April 9, 2013, focusing on financial and operational priorities. See the outline below. Accuracy of Reporting FINRA is especially concerned with the accuracy of books and record regarding the valuation of assets and liabilities on balance sheets in regards to consumer asset protection. FINRA inspectors have recently noticed during net capital reviews that some guarantees have not been properly recorded. Deductions from net worth and net capital computations must properly reflect any assumption of an affiliate or subsidiary's liability. Liability must be recorded

The SEC announced the panelists who will participate in its April 16 roundtable on ways to improve the transparency and efficiency of the fixed income markets. View Release in full here (links externally to SEC website). See also: SEC Roundtable on Fixed Income Markets - Agenda.

The CFTC has submitted its brief to the U.S. Court of Appeals for the District of Columbia in its appeal of the position limits case. Last September, the U.S. District Court for the District of Columbia upheld the challenge of ISDA and SIFMA to the CFTC's position limit rules promulgated under Dodd-Frank, vacating the rules in their entirety on the ground that the CFTC had failed to make a finding that position limits were in the public interest prior to imposing them. ISDA v. CFTC, 887 F. Supp. 2d 259 (D.D.C. Sep. 28, 2012) (ruling that CFTC had no "clear and unambiguous mandate" to set