The CFTC announced the publication schedule for reports delayed by the recent U.S. government shutdown. The weekly issuance of Commitments of Traders reports will begin on October 25, 2013. The Cotton-on-Call reports will be released on a rolling schedule, as they are ready, and the CFTC expects the reports to be back on schedule by November 7, 2013. The Bank Participation Report originally scheduled for release on October 4, 2013 will be released on October 25, 2013. See: CFTC Press Release.

The SEC has charged Diebold Inc., a global provider of ATMs and bank security systems, with violating the Foreign Corrupt Practices Act ("FCPA") by providing foreign officials with international leisure trips, entertainment, and other improper gifts to obtain and retain lucrative business with government-owned banks in China and Indonesia. The SEC Order charges Diebold with violating Exchange Act Sections 30A ("Prohibited Foreign Trade Practices by Issuers"), Section 13(b)(2)(A) ("Periodical Reports") and 13(b)(2)(B). See: SEC Order; SEC Press Release.

SEC Chair Mary Jo White spoke at the National Membership meeting for the National Society of Compliance Professionals, focusing on the importance of disclosure and transparency from both the SEC and industry professionals in compliance. Chair White stated that the SEC is far more interested in helping compliance professionals succeed before an examination than catching a firm in a violation in the course of an examination. She noted that compliance officers should not be the only line of defense to protect firms against violations. Chair White also said that it is the job of managers, internal

The SEC is soliciting comments on proposed MSRB amendments which would: amend MSRB Rule G-11 ("Primary Offering Practices") to prohibit, with defined exceptions, brokers, dealers and municipal securities dealers ("dealers") from providing consents to changes in a bond-authorizing document; and enhance protections for existing owners of bonds from changes to authorizing documents consented to by a dealer in lieu of bond owners by prescriptively prohibiting such consents in certain circumstances. See: SEC Notice. See also: MSRB Exhibit 2 and Exhibit 5.

SIFMA, the American Bankers Association ("ABA") and the Financial Services Roundtable ("FSR") submitted comments to the Board of Governors of the Federal Reserve ("FRB"), the Office of the Comptroller of the Currency ("OCC") and the Federal Deposit Insurance Corporation ("FDIC") on their proposal regarding enhanced supplementary leverage ratio standards ("SLR") for certain bank holding companies and their subsidiary insured depository institutions. The proposal would require an SLR surcharge of Tier 1 capital on eight U.S. bank holding companies identified as global systemically important