In light of recent changes to the CFTC Part 4 Regulations, NFA is requiring every CPO Member that operates a commodity pool which is also a Registered Investment Company to notify NFA of that fact through the CPO's annual questionnaire. The CPO Questionnaire can be accessed at the following web address: http://www.nfa.futures.org/NFA-electronic-filings/annual-questionnaire…. Click here to view notice in full (links externally to NFA website). See also: Commodity Pool Operators and Commodity Trading Advisors: Compliance Obligations (CFTC Final Rule).

The Federal Reserve Board announced that results from the Dodd-Frank supervisory stress tests will be released on Thursday, March 7, and the related results from the Comprehensive Capital Analysis and Review ("CCAR") will be released on Thursday, March 14. The Dodd-Frank supervisory stress test results will include data such as capital ratios, revenue, and loss estimates. The tests are being performed under a severely adverse scenario and assume a common set of capital actions that are used in the analysis of all of the firms. The standardized capital actions used in the Dodd-Frank stress test

A number of trade associations jointly submitted a letter to the CFTC's Director of the Division of Swap Dealer and Intermediary Oversight requesting that the Division grant relief to permit sponsors of registered investment companies and privately offered investment funds to net certain uncleared swaps held by a fund when applying the net notional test in amended CFTC Rules 4.5 or 4.13(a)(3). Specifically, the associations request that a fund be permitted to net uncleared swaps for purposes of the net notional test, provided that: (1) the termination dates of offsetting swaps are the same

The English High Court has ruled that the identity of more than 100 employees and former employees implicated in a test case concerning the manipulation of LIBOR must be released into the public domain. In his ruling, Mr Justice Flaux deemed that there was insufficient proof of any prejudice that would be caused to the trial by the fact the individuals would be named, but said he would give more detailed reasons for his judgment at a later date.

FINRA is filing with the SEC a proposed rule change to extend through January 31, 2014, the current rules permitting the use of multiple Market Participant Symbols ("MPIDs") in FINRA Rules 6160 [Multiple MPIDs for Trade Reporting Facility Participants], 6170 [Primary and Additional MPIDs for Alternative Display Facility Participants], and 6480 [Multiple MPIDs for Quoting and Trading in OTC Equity Securities]. View Proposed Rule Change here (links externally to FINRA website).