The CFTC issued to LCH.Clearnet LLC a letter approving LCH's revised rulebook and an amended order of registration as a derivatives clearing organization ("DCO"). The amended order of registration permits LCH to clear (in its capacity as a registered DCO) futures contracts, options on futures contracts, commodity options, and swaps where interest rates and/or currencies constitute the underlying commodity or reference. View Order in full here (links externally to CFTC website).

SIFMA submitted comments to the SROs responsible for developing and implementing a consolidated audit trail ("CAT"). The CAT will collect and identify every order for all exchange-listed equities and equity options across all U.S. markets. In its letter, SIFMA stated that the SROs' decision to seek requests for proposals for the CAT's data processor was premature because: The details of the SROs' NMS Plan for implementing the CAT are too vague to elicit meaningful proposals for the CAT's data processor; No procedure is in place to prevent conflicts of interest from SROs who intend to submit

The SEC announced in the Federal Register that it has adopted amendments to Exchange Act Rule 17Ad-17 ("Transfer Agents' Obligation to Search for Lost Securityholders") to implement the requirements of Dodd-Frank Section 929W. That Section added to Exchange Act Section 17A subsection (g), "Due Diligence for the Delivery of Dividends, Interest, and Other Valuable Property Rights," which directs the SEC to revise Rule 17Ad-17. Click here to view our original story on the extension, including a brief analysis and commentary. Effective Date: March 25, 2013. Compliance Date: January 23, 2014. See

Bruce Karpati, Chief of the SEC Enforcement Division’s Asset Management Unit, spoke at the Private Equity International Conference. Below is an outline of his remarks regarding the SEC’s Asset Management Unit and its work in the private equity area: The creation of the Asset Management Unit and the overall purpose and functions of the Unit; The growth in the area of private equity has led to the SEC bringing more private equity cases, a trend which Mr. Karpati expects to continue; A mention and very brief summary of the private equity cases that the SEC has brought; Mr. Karpati mentioned

This notice provides information as to newly elected Board members in those categories and a complete list of the members of the 2013 Nominating Committee. View Notice in full here (links externally to NFA website).