The Institute of International Bankers ("IIB") has published a comment letter in which it offers suggestions across three key topics: (i) the aggregation rule, (ii) the “U.S. person” definition, and (iii) matters relating to the transition from the Final Order. In the letter, the IIB states that it supports the CFTC's adoption of a modified version of the Final Exemptive Order Regarding Compliance with Certain Swap Regulations (78 FR 858), which it believes addresses two key elements of the Title VII regulatory regime: the aggregation of affiliates' swaps for purposes of the de minimis

The CFTC has released information as to the subject of, and participants in, a number of recent meetings between the CFTC staff and the outside world addressing, among other Dodd-Frank topics: (i) SDR reporting and registration, (ii) SEF registration, and (iii) DCM Core Principles. See below for details of each meeting. DATE MEETING WITH RULEMAKING 01/29/2013 More Info Morgan Stanley General 01/24/2013More Info Delta Strategy Group I. Registration 01/16/2013More Info CME XIII. SEF Registration XVI. Swap Data Repositories Registration General 01/15/2013More Info ICE XII. DCM Core Principles XVI

The Hong Kong Stock Exchange published a report summarizing the key observations and findings from its review of 120 annual, interim and quarterly reports released by listed issuers between May 2011 and September 2012. These observations and findings included: Issuers should be aware of disclosure requirements relating to financial information in the Listing Rules, in addition to disclosure requirements in accounting standards; Issuers should enhance their explanations of significant events and transactions in their annual and interim reports; Issuers should enhance their disclosures relating

FINRA has filed with the SEC a proposed rule change to amend Section 4 of Schedule A to the FINRA By-Laws to adopt a waiver process for the continuing membership application fee in which FINRA determines that the application is proposing changes that do not require substantial staff review. The proposed rule change also would amend NASD Rules 1013 ("New Member Application and Interview") and 1017("Application for Approval of Change in Ownership, Control, or Business Operations") to provide for a refund of the application fee (less a $500 processing fee) if a new member applicant or continuing

The CFTC is asking for public comment on the request submitted by trueEX LLC ("trueEX") to amend its order of designation, dated September 25, 2012. In its request, trueEX seeks to amend its designation order to allow intermediated trading on its platform. Comments Due: March 1, 2013. View Complaint in full here (links externally to CFTC website). See also: Press Release.