The SEC Office of Investor Education and Advocacy issued an investor bulletin on insider transactions and Forms 3,4, and 5. Lofchie Comment: This is interesting. This is not a bulletin or guide on how to file the forms. Rather, it is a soft caution to investors that they may want to research selling by insiders before buying stock in a company. View Alert in full here (links externally to SEC website).

The SEC announced that it will hold a roundtable on April 16 to discuss potential ways to improve the transparency and efficiency of fixed income markets. The roundtable will focus on the corporate bond market and the municipal securities market, which was the subject of a July 2012 SEC report. The 2012 Report on the munis market made a variety of recommendations to improve pre-trade and post-trade price transparency, and to strengthen brokers' existing obligations to provide investors with best execution and fair pricing. The roundtable will provide a forum for in-depth discussion of these

Chairwoman of the U.S. Senate Committee on Agriculture, Nutrition and Forestry, Senator Debbie Stabenow (D-MI), announced that she and Ranking Member Senator Thad Cochran (R-MS) will begin the process of reauthorizing the CFTC later this year. She encouraged CFTC officials to finalize rules and finish implementing the Dodd-Frank Act. Stabenow and Cochran will release a joint letter in the coming days that will invite public input on reauthorization. View Statement in full here (links externally to AG Senate website).

SIFMA’s CEO Kenneth Bentsen made the opening remarks at the AML and Financial Crimes Conference Event. CEO Bentsen called on compliance personnel to redouble their efforts in ensuring financial markets are safe, secure and vibrant. According to Bentsen, in order to maintain safe financial markets, flexibility is required in the rulemaking process to allow effective implementation of the rules without jeopardizing market function and efficiency. View Opening Remarks in full here (links externally to SIFMA website). See also: AML Financial Crimes Conference Event.

FINRA announced that Steven J. Randich, currently Citigroup's Co-Chief Information Officer ("CIO"), will join the organization as Executive Vice President and CIO. Beginning March 11, Randich will oversee technology at FINRA, as well as FINRA's Registration and Disclosure division. Click hereto view announcement in full (links externally to FINRA website).