In a speech at an Insider Trading symposium hosted by the New York Law School, Attorney General Eric. T. Schneiderman ("A.G. Schneiderman") called for tougher regulations and market reforms to address the "unfair advantages commonly provided to high-frequency trading firms at the expense of other investors." & In his remarks, A.G. Schneiderman detailed a number of services that trading venues offer to high-frequency traders ("HFTs"), including, but not limited to: allowing traders to locate their computer servers within the trading venues themselves; providing extra network bandwidth to HFTs

The CFTC requested public comment on the swap data recordkeeping and reporting requirements under CFTC Rules Part 45 and related provisions. Part 45 requires reporting counterparties and entities to submit swap transaction data to swap data repositories via electronic reporting to enable the CFTC to perform a range of market integrity, risk monitoring and other supervisory functions. The request for comment, which was developed by the newly created CFTC Interdivisional Working Group, seeks public input on approximately 70 questions addressing topics such as: the reporting of primary economic

The CFTC charged Bradley A. Miklovich, a former senior commodities analyst for Rice Investment Company ("Rice"), with commodity futures fraud. The Complaint alleges that, from July 23, 2013 through July 30, 2013, Miklovich placed trades for more than 2,000 commodity futures and options contracts for two customers' non-discretionary accounts without authorization to place those trades. Miklovich concealed his unauthorized trading from Rice by preparing for the firm phony daily reconciliations that failed to account for the unauthorized trades that he placed. The Complaint also states that

SEC Director of the Division of Investment Management (the "Division") Norm Champ delivered a speech, at the 2014 Mutual Funds and Investment Management Conference, about recent developments and rulemaking initiatives within the investment management industry. According to Mr. Champ, it is important for the Division to innovate in order to keep up with the market, and such innovation begins with the internal organization of the Division. Mr. Champ stated that the Division was recently restructured into four groups to reflect its key functions: (i) disclosure, (ii) guidance by the Chief Counsel

The SEC and FINRA announced that registration is open for regional compliance outreach programs for broker-dealers which will take place in Denver, Los Angeles, Chicago, Miami, Philadelphia and New York beginning in the spring. The regional programs will provide professionals employed by broker-dealers and regulators with a forum to discuss risk management, regulatory issues and compliance practices. See: Registration via SEC; Registration via FINRA; Press Release.