The Financial Crimes Enforcement Network ("FinCEN") issued final anti-money laundering ("AML") regulations that now require Fannie Mae, Freddie Mac and the twelve Federal Home Loan Banks (collectively, the housing government sponsored enterprises or "GSEs") to develop programs to prevent money laundering. The regulations also require the housing GSEs to file suspicious activity reports ("SARs") directly with FinCEN, as opposed to their regulator, the Federal Housing Finance Authority ("FHFA"). FHFA will be responsible for monitoring the housing GSEs' compliance with the new rules. The housing

FINRA released a regulatory notice outlining two rule changes, which the SEC approved, relating to FINRA Rule 8312 ("FINRA BrokerCheck Disclosure"). The SEC approved amendments to permanently and publicly make available BrokerCheck information about former associated persons of a FINRA member firm who were registered on or after August 16, 1999, and who have been the subject of an investment-related civil action brought by a state or foreign financial regulatory authority that was dismissed pursuant to a settlement agreement. Additionally, the SEC approved amendments to include BrokerCheck

The CFTC issued a letter to ASX Clear (Futures) Pty Limited ("ASXCLF") regarding its compliance with the condition to the no-action relief granted by the Division of Clearing and Risk on February 6, 2014, which stated that ASXCLF must comply with the reporting obligations applicable to registered derivatives clearing organizations ("DCOs") under CFTC Rules Part 45 ("Swap Data Recordkeeping and Reporting Requirements"). According to the letter, if an ASXCLF clearing participant clears a swap ("alpha swap") through ASXCLF that has been reported to a CFTC-registered swap data repository ("SDR")

The CFTC Divisions of Clearing and Risk, Market Oversight, and Swap Dealer and Intermediary Oversight issued a no-action letter to Southwest Power Pool, its members and certain of its Integrated Marketplace participants, allowing them to continue to operate while the CFTC considers a petition filed by Southwest Power Pool in October 2013. The petition requested exemptive relief pursuant to CEA Section 4(c)(6) from certain CEA provisions and CFTC rules for specified transactions that are offered or entered into pursuant to Southwest Power Pool's FERC-approved tariff. These transactions are to

The SEC Office of Investor Education and Advocacy issued a bulletin to educate investors as to how fees can impact the value of an investment portfolio. The SEC stated that, although fees seem small initially, over time, they have a major impact on an investor's portfolio. The SEC described different types of fees, provided several recommendations and urged investors to scrutinize fees when choosing a financial professional or a particular investment. See: SEC Investor Bulletin.