The CFTC's new rules on Ownership and Control Reports, and related Forms 102/102S, 40/40S, and 71 to enhance its identification of futures and swap market participants, have been published in the Federal Register. The final rules are intended to leverage the CFTC's current position and transaction-reporting programs by requiring the electronic submission of trader identification and market participant data on amended Forms 102 and 40 and on new Form 71. The new and amended forms require the reporting of certain trading accounts active on reporting markets that are designated contract markets

The CFTC Division of Market Oversight ("DMO") has issued further staff "guidance" as to swap execution facilities ("SEFs"). The Guidance addresses six areas, including: SEF/DCM registration requirements, which apply to multilateral swaps trading platforms located both in and outside the U.S . under CFTC Rule 37.3 ("Requirements and Procedures for Registration") if the SEF is used for executions by either (i) non-U.S. persons located within the United States or (ii) U.S. persons through agents; consent by clearing members to the jurisdiction of a SEF pursuant to CFTC Rule 37.700 ("Core

The CFTC approved the application of LatAm SEF, LLC, for temporary registration as a swap execution facility ("SEF"), pursuant to CEA Section 5h ("Swap Execution Facilities") and CFTC Rule 37.3(c) ("Requirements and Procedures for Registration"). See: CFTC Letter to LatAm SEF; CFTC Press Release. See also: Cabinet SEF Table. Related news: CFTC Issues Notice of Temporary SEF Registration to tpSEF Inc. and Tradition SEF, Inc. (with Lofchie Comment) (September 25, 2013); CFTC Issues Notice of Temporary SEF Registration to INFX SEF Inc. (September 24, 2013); CFTC Issues Notice of Temporary SEF

SEC Chair Mary Jo White spoke at the Fifth Annual Judge Thomas A. Flannery Lecture about the importance of trials, their unique place in the American justice system, and about the role they play at the SEC. Chair White explained that trials play a vital role in the administration of justice. She stated that trials are a true measure of America's democracy because trials foster the development of law and more importantly to Chair White, they create public accountability for defendants and the government through the public airing of charges and evidence. Chair White discussed ways in which

The SEC Division of Trading and Markets issued no-action relief to Computershare Investor Services (Jersey) Limited ("CPU Jersey"). The letter is in response to CPU Jersey's request that the SEC not recommend enforcement action regarding CPU being an unregistered transfer agent where CPU Jersey provides limited transitional services to Eros International PL for the purpose of enabling the transfer of Eros ordinary shares held in a CREST system to a new share account registered to be maintained in the United States by CPU US, a U.S.-based transfer agent which is registered with the SEC. See