See: NFA fines New York Forex Firm, Forex Club LLC, and Its Former CEO Peter Tatarnikov, $300,000. See also: Complaint and Decision.

The SEC charged a divisional merchandise manager at a department store with assisting financial fraud. According to the SEC, the scheme caused a public company to materially misstate its net income and expenses in several financial reporting periods between 2004 and 2009. View complaint in full here (links externally to SEC website). See also: Press Release.

Final rule; delay of effective date of amendments to Regulation D adopted by the Board of Governors of the Federal Reserve System.

Citigroup Global Markets Inc. ("CGMI") was sanctioned by the Massachusetts State Securities Division ("MSD") on the basis, according to the disciplinary action, of its failure to supervise two research analysts, described in the disciplinary action as the Senior Analyst and the Junior Analyst. The reasons for the disciplinary actions against each were unrelated, as described below. In the case of the Senior Analyst, he responded improperly to a question asked by a reporter without seeking prior approval from the firm's Compliance Department. When his improper response was uncovered by a

The CFTC's Division of Swap Dealer and Intermediary Oversight ("DSIO") announced the issuance of time-limited no-action relief for swap dealers ("SDs") and major swap participants ("MSPs") concerning certain recordkeeping obligations under Part 23 of the CFTC's Regulations. The no-action letter will delay until March 31, 2013, the compliance date for the following provisions: (1) The requirement that SDs and MSPs make and keep records of all oral communications related to pre-execution swap trade information (and communications that lead to the conclusion of a related cash or forward