The NASAA announced at its annual conference a new investor outreach initiative to provide investor education resources to Native American and First Nations populations in the United States and Canada. View news release here(links externally to NASAA website).

The SEC has released updated versions for the DRAFT EDGAR Filer Manual, Volumes I and II. DRAFT EDGAR Filer Manual (Volume I) - General Information (Version 14) DRAFT EDGAR Filer Manual (Volume II) - EDGAR Filing (Version 21)

The SEC’s Office of Investor Education and Advocacy issued this bulletin to help educate investors and to inform investors about the SEC’s database for securities certificates reported lost, stolen, missing, or counterfeit. View bulletin here (links externally to SEC website). See also: Investor.gov.

Responding to questions from market participants and other interested parties, the CFTC released this FAQ on the timing of when entities will be required to register as swap dealers. Below is a Frequently Asked Questions document on swap dealer registration timing to help better understand the rule: Q1. Which regulations are relevant to determining when a person comes within the definition of the term “swap dealer”? A1. Two regulations are relevant to this question. First, CFTC regulation § 1.3(ggg)(4)(i) provides that a person comes within the definition of swap dealer when it has entered

In this report, the SEC staff announces the recommendation that the Commission not take any further action at this time with respect to: standardizing credit rating terminology; standardizing the market stress conditions under which credit ratings are evaluated; requiring a quantitative correspondence between credit ratings and a range of default probabilities and loss expectations under standardized conditions of economic stress; and standardizing credit rating terminology across asset classes. SEC staff further asserts that it would be more efficient to focus on the rulemaking initiatives