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

In a testimony today before the US Senate Committee on Banking, Housing and Urban Affairs, CFTC Chairman Gary Gensler addressed the following issues: Implementation of Dodd-Frank Swaps Market Reform Transparency Central Clearing Swap Dealers Market Integrity/Position Limits Cross-border Application of Dodd-Frank’s Swaps Reforms Implementation Phasing Resources View testimony in full here (links externally to CFTC website).

FINRA Reg. Notice 12-26 The SEC approved amendments to FINRA Rule 6700 Series and TRACE dissemination protocols regarding the reporting and dissemination of transactions in TRACE-eligible securities that are agency pass-through mortgage-backed securities that are traded to be announced (TBA). In addition, the SEC approved amendments to FINRA Rule 7730 regarding TRACE fees to provide for data fees for TBA transaction data. The amendments also include the deletion of the reference to an expired pilot program and minor technical changes. Effective Date: November 5, 2012 Cross References: Lofchie

FINRA Reg. Notice 12-25 In November 2010, the SEC approved FINRA's new suitability rule, FINRA Rule 2111. FINRA then issued Regulatory Notice 11-02, which announced the SEC's approval of the new rule and discussed its requirements. FINRA also issued Regulatory Notice 11-25, which offered further guidance on the rule and announced a new implementation date of July 9, 2012. This Notice provides significant guidance in the form of an FAQ on the new rule, and should be reviewed by all broker-dealers. Implementation Date: July 9, 2012 Cross References: Lofchie's Guide to Broker-Dealer Regulation

In a speech today, CFTC Chairman Gary Gensler addressed issues in the international swaps market and the cross-border application of Dodd-Frank's swaps reforms. Chairman Gensler also noted that the CFTC staff would be publishing for public comment a release on the cross-border application of swaps market reforms, that would likely include the following recommendations: "First, when a foreign entity transacts in more than a de minimis level of U.S. facing swap dealing activity, the entity would register under the CFTC’s recently completed swap dealer registration rules. Second, the release will