The SEC is adopting revisions to the Electronic Data Gathering, Analysis, and Retrieval System (EDGAR) Filer Manual and related rules to reflect updates to the EDGAR system. The revisions are primarily to support submission of Confidential Registration Statements; require Form ID authentication documents in PDF format; automate LTID generation for Large Trader registrations; support minor updates to Form D; remove superseded XBRL Taxonomies; remove the OMB expiration date from Forms TA-1, TA-2, TA-W, 25-NSE; and request unused funds. Note that the changed requirements are relevant to a broad

The NFA presented this 90-minute webinar to provide an in-depth discussion of the registration process, including firm and individual registration filing requirements, and to help SDs and MSPs understand the CFTC's registration process in light of the SEC/CFTC joint final rule definitions. Questions about the webinar may be directed to Athena Eastwood of Cadwalader, who served as one of the moderators. Moderators: Athena Eastwood, Special Counsel, Cadwalader Wickersham Taft Michelle Broom, Senior Managing Director, Macquarie Futures NFA Speakers: Jamila Piracci, Vice President, OTC Derivatives

The SEC instituted a settled administrative proceeding against an investment advisory firm for failing to disclose a variety of conflicts of interest it had in, among other things, recommending a series of registered investment company funds which were promoted by that broker. In addition, the advisor failed to disclose certain of its sub-advisory fees to the trustee for the relevant mutual fund (as sub-advisor, it was also getting paid a hidden fee by the principal advisor). View order here (links externally to SEC website). See also: SEC Press Release.

The CFTC is amending its regulations governing the operations and activities of commodity pool operators (CPOs) and commodity trading advisors (CTAs) in order to have those regulations reflect changes made to the Commodity Exchange Act by the Dodd-Frank Act. Effective Date: November 5, 2012. Compliance Date: CPOs and CTAs must comply with these amendments to Part 4 by no later than the most recent effective date of the regulations issued by the Commission to further define the term "swap" in section 1a(49) of the CEA, pursuant to the Dodd-Frank Act. Cross-Reference(s): 76 FR 11701 (Proposing

The OCC announced its selection of Ellen M. Warwick as Director for Enforcement and Compliance. Ms. Warwick will oversee the OCC's Law Department Division that conducts investigations, recommends administrative actions, and litigates those enforcement actions. She will report to OCC's Deputy Chief Counsel, Daniel P. Stipano. Ms. Warwick formerly served as an Assistant Director for Enforcement and Compliance at the OCC. View press release here (links externally to OCC website).