View study here. Release Date: April 11, 2012 Cross Reference Dodd-Fra nk § 929Y

FINRA Reg. Notice 12-19 FINRA is reminding firms of their notification obligations under FINRA Rules 5190 and 6275(f), and FINRA trade reporting rules relating to distributions that are subject to SEC Regulation M. In addition, FINRA is announcing a new process for the electronic submission of the notice and information required under the rules. Beginning June 4, 2012, firms are required to make submissions under Rule 5190, Rule 6275(f) and applicable trade reporting rules in accordance with the new electronic submission process. Prior to the effective date, FINRA will provide access to the

The latest Advisers Act Enforcement Action -- John D. Friedrich; IA-3394 (released 04/06/2012).

See: 77 FR 21278 The CFTC is adopting rules to implement new statutory provisions enacted by Title VII of the Dodd-Frank Act. These rules address: The documentation between a customer and a futures commission merchant that clears on behalf of the customer; the timing of acceptance or rejection of trades for clearing by derivatives clearing organizations and clearing members; and the risk management procedures of futures commission merchants, swap dealers, and major swap participants that are clearing members. The rules are designed to increase customer access to clearing, to facilitate the

77 FR 20749 The SEC is reopening the period for public comment on amendments it originally proposed in SEC Release No. 33-9126 (75 FR 35920) to allow submission of comments on the results of the findings of empirical research on individual investors' understanding of target date retirement funds and related marketing materials. The rule proposal would, if adopted, require a target date retirement fund that includes the target date in its name to disclose the fund's asset allocation at the target date immediately adjacent to the first use of the fund's name in marketing materials; require