CFTC Commissioner Bart Chilton opened the International Regulators Conference with a short speech and a Kevin Costner paraphrasing, stating, "if we build global regulatory regimes, others will come."Commissioner Chilton said that he expects the decisions of regulators today to set the global regulatory rules for the financial sector for a generation, and highlighted the importance of these conferences in helping regulators to work together and learn from each other.

The CFTC published in the federal register an amendment to Rule 23.22 ("Associated Persons of Swap Dealers and Major Swap Participants") to clarify certain responsibilities of a swap dealer or major swap participant regarding its employees who solicit, accept or effect swaps in a clerical or ministerial capacity. We previously reported this amendment on October 22, 2013. See: 78 FR 64173.

The Asset Management Group of SIFMA (SIFMA AMG) submitted the attached comment letter to the CFTC in which it expressed significant concerns regarding straight-through processing, swap execution facility (SEF) implementation and relief relating to the aggregation provision in the final block trade rule. In addition, SIFMA AMG requested an extension of certain no-action letters issued by CFTC staff relating to the implementation of the CFTC SEF final rules until at least February 1, 2014. SIFMA further requested further no-action relief (through March 31, 2014) relating to the aggregation

FINRA released the attached information letter in order to amend Form U-4 (the form on which employees are registered). The amended form updates the Judgment/Lien Disclosure Reporting Page (DRP) to add a question regarding the date a registered person learns of an unsatisfied judgment or lien. The amendments are effective October 26, 2013. See : FINRA Information Notice.

The CFTC's Division of Clearing and Risk ("DCR") and Division of Market Oversight ("DMO") (together, "the Divisions") provided time-limited relief for SEFs from compliance with certain requirements of CFTC Rules 37.9(a)(2) ("Methods of execution for required and permitted transactions – Execution methods") and 37.203(a) ("Rule enforcement program – Abusive trading practices prohibited") in connection with broken trades. The Divisions announced that they will not recommend action against a SEF for failure to comply with Rule 37.9(a)(2) regarding methods of execution for required or permitted