The SEC Office of Investor Education and Advocacy issued an Investor Bulletin aimed at educating uniformed services members about the Roth Thrift Savings Plan ("TSP"). The Investor Bulletin, among other things, outlines what a TSP is and how Roth TSPs compare to traditional TSPs. The Bulletin also provides tips to service members on how to choose the right plan for them and the ways in which members can contribute to their TSPs. See: SEC Investor Bulletin: Roth TSP for Uniformed Services Members.

The SEC announced the agenda for the next meeting of its Advisory Committee on Small and Emerging Companies. The Committee will focus on ways to increase opportunities for investors in small and emerging companies to resell their shares, a concept referred to as "secondary market liquidity." The Committee is also expected to vote on recommendations to the SEC regarding the definition of "accredited investor." The committee had planned to consider those recommendations in a February 17 conference call that was postponed due to weather. See: SEC Press Release. Related news: SEC Announces Open

NFA announced permanent membership bars against Chazon QTA Quantitative Trading Artists LLC ("Chazon"), a commodity pool operator ("CPO"), and its associated person and firm principal for refusing to produce bank records requested by NFA. The decision states that Chazon violated NFA Compliance Rule 2-5 by failing to "cooperate promptly and fully" with NFA during the course of an examination of Chazon. According to the decision, Chazon refused to provide bank records NFA requested in order to (i) determine the source of funds used to capitalize Chazon and to fund the pools that Chazon operates

FINRA released a podcast outlining five things investors should know about securities professionals. The podcast discusses five "must-knows" for investors on what is required to be a securities professional and what is required to obtain and maintain FINRA registration: any person working for a brokerage firm who is involved with an investment firm's business must register with FINRA; securities professionals must pass qualifying exams before they can work in a specific area of business or handle certain securities; continuing education programs are required for securities professionals to

FINRA proposed to adopt NASD Rules 3170 ("Mandatory Electronic Filing Requirements"), 1150 ("Executive Representative") and 1160 ("Contact Information Requirements") as new FINRA Rule 4517 ("Member Filing and Contact Information Requirements") without any substantive changes in the Federal Register. The changes are effective immediately. FINRA also proposed to update references and cross-references within other FINRA rules accordingly. Although the proposal was filed to be effective immediately, comments may be submitted until March 20, 2015. See: 80 FR 10733. Related news: FINRA Proposes the