The CFTC Division of Market Oversight issued a letter to BSE Ltd certifying its SP BSE 100 Index futures contract submission. The CFTC determined that the BSE futures contract meets the requirements of CEA Section 2(a)(1)(C)(ii) and thus may be offered or sold to persons in the U.S beginning September 24. See : CFTC Letter to BSE; CFTC Press Release.

The CFTC alleged that the FCM had failed to diligently supervise the handling of a customer's commodity interest accounts. The Order found that the FCM had failed to aggregate a customer's multiple trading accounts held at the FCM when calculating that customer's feeder cattle futures speculative positions traded on the CME. Additionally, the Order stated that the FCM had relied on a faulty back-office software program which incorrectly calculated the aggregate futures equivalent net positions. The same faulty software was also used to identify potential speculative limit violations of its

The SEC Office of Investor Education and Advocacy issued an Investor Alert to individual investors regarding advertisements and announcements for investment opportunities in certain securities offerings. The warning was issued in anticipation of increased general advertising of securities as permitted by the JOBS Act. The rules permitting general advertising take effect on September 23. See: SEC Investor Alert. See also: Cadwalader C&F Memo: JOBS Act Rules on General Sales and General Advertising (with Lofchie Comment) (August 13, 2013); SEC Publishes Final Rule Amendments to Rule 506 and Rule

The SEC extended temporary Exchange Act Rule 15Ba2-6T ("Temporary Registration as a Municipal Advisor; Required Amendments; and Withdrawal from Temporary Registration") so that the rule will sunset on December 31, 2014 (rather than September 20, 2013). Temporary registrations under the rule will expire on this date. See: Text of Final Rule Extension.

SIFMA submitted comments to MSRB in response to MSRB Notice 2013-19, in which the MSRB requested comments on proposed rule changes that would set forth in a single rule the requirements and process through which brokers, dealers, municipal securities dealers, and municipal advisers register with the MSRB. In the letter, SIFMA expressed support for MSRB's efforts to make the registration process more concise, through and including by consolidating and clarifying rules, streamlining the process, and reducing compliance burdens on regulated entities. However, SIFMA also suggested technical