Click hereto view notice in full (links externally to FINRA website).

FINRA announced that the SEC has approved new FINRA Rule 5350 (Stop Orders), which replaces the stop order provisions of FINRA Rule 6140(h). The rule provides that any order labeled as a "stop order" or a "stop limit order" must be triggered based upon a transaction at the stop price, but permits firms to offer alternative order types with different triggers, so long as the order type is not labeled as a stop order and is clearly distinguishable from a stop order. The text of the rule can be found here. View FINRA Regulatory Notice 12-50 in full here(links externally to FINRA website).

The SEC is adopting new Rule 17Ad-22 in accordance with Section 17A of the Exchange Act, Section 763 of Title VII ("Title VII") of the Dodd-Frank Act, and Section 805 of Title VIII ("Title VIII") of the Dodd-Frank Act. Rule 17Ad-22 establishes minimum requirements regarding how registered clearing agencies must maintain effective risk management procedures and controls, as well as meet the statutory requirements under the Exchange Act on an ongoing basis. The rule is NOT limited to firms that clear security-based swaps ("swaps"); it applies to all SEC-registered clearing agencies, although

The Office of the Comptroller of the Currency (OCC) issued a proposed rulemaking to amend its retail foreign exchange rule for transactions with collective investment funds (CIFs) and insurance company separate accounts. The OCC's retail forex rule, which was adopted in July 2011 and which governs retail forex transactions with federal depository institutions regulated by the OCC, is modeled after a CFTC rule governing retail forex transactions by CFTC registrants. The proposed amendments reflect provisions in the joint CFTC/SEC entities rule that treat certain investment pools as retail

The CFTC approved a final rule that amends numerous regulations, listed below, so that they now reference swaps and the collateral for swaps, as well as futures. Effective Date: January 2, 2013. Cross-Reference(s): Dodd-Frank Title VII; CFTC Regulations Parts 1 (General Regulations), 4 (CPOs and CTAs), 5 (Off-Exchange FX Transactions), 7 (Contract Market Rules Altered or Supplemented by the Commission), 8 (Exchange Procedures for Disciplinary, Summary, and Membership Denial Actions), 15 (Reports--General Provisions), 16 (Reports by Reporting Markets), 18 (Reports by Traders), 21 (Special Calls