Charges included misappropriation of client assets, market manipulation, and betraying clients. The SEC also charged Peter A. Jenson, Harbinger's former Chief Operating Officer, for aiding and abetting the misappropriation scheme. Additionally, the SEC reached a settlement with Harbinger for unlawful trading. View press release in full here (links externally to SEC website). Additional Materials: SEC Complaint: Harbinger Capital Partners LLC; Philip A. Falcone; and Peter A. Jenson SEC Complaint: Philip A. Falcone, Harbinger Capital Partners Offshore Manager, L.L.C., and Harbinger Capital

The CFTC has approved for publication in the Federal Register proposed rules and related forms to enhance its identification of participants in Commission-regulated futures and swaps markets. The proposed rules would enhance and automate the Commission's existing position and transaction reporting programs by requiring the electronic submission of expanded trader identification and market participant data. View press release in full here(links externally to CFTC website).

Testimony given before the subcommittee on TARP, Financial Services and Bailouts of Public and Private Programs Oversight and Government Reform Committee U.S. House of Representative. Cross References: JOBS Act; Securities Act; Exchange Act; Blacklines of the Securities Act and Exchange Act. View testimony in full here (links externally to SEC website).

The SEC has adopted rules that establish procedures for its review of certain clearing agency actions. The rules were required by the Dodd-Frank Act, which called for a new regulatory framework for trading in over-the-counter derivatives, including swap agreements. View press release here. See: Final Rule: Process for Submissions for Review of Security-Based Swaps for Mandatory Clearing and Notice Filing Requirements for Clearing Agencies; Technical Amendments to Rule 19b-4 and Form 19b-4 Applicable to All Self-Regulatory Organizations, SEC Release #: 34-67286 Summary: In accordance with

View study here.All Dodd-Frank related studies and reports can be accessed via our Dodd-Frank Studies table. Cross References Dodd-Frank § 1076