The CFTC obtained federal court summary judgment orders resolving its claims against defendant Eldon A. Gresham (aka Eldon A. Gresham, Jr.) doing business as The Gresham Company (Gresham) of Peachtree City, Ga., and relief defendants Werner H. Beiersdoerfer (Beiersdoefer) and his company, Interveston Wines, LLC (Interveston), both of Calera, Ala. Relief defendants Werner H. Beiersdoerfer and Interveston Wines, LLC ordered to pay an additional $5 million in relief. View press release in full here(links externally to CFTC website).

The SEC has approved two proposals submitted by the national securities exchanges and the FINRA that are designed to address extraordinary volatility in individual securities and the broader U.S. stock market. The exchanges and FINRA will implement these changes by February 4, 2013. On Thursday, the SEC approved both proposals for a one-year pilot period, during which the exchanges, FINRA, and the SEC will assess their operation and consider whether any modifications are appropriate. Under the new plan all trading centers, including exchanges, automated trading venues, and broker-dealers

The latest Advisers Act Enforcement Action -- Oxford Investment Partners, LLC and Walter J. Clarke; IA-3412, 34-30086 (released 05/30/2012).

The CFTC will hold a public roundtable TODAY from 9:30 a.m. to 4:30 p.m., to discuss the proposed regulations to implement Section 619 (commonly known as the Volcker Rule) of the Dodd-Frank Act. Section 619 contains certain prohibitions and restrictions on the ability of banking entities to engage in proprietary trading and to have certain interests in, or relationships with, a hedge fund or private equity fund. The roundtable will consist of two panels that are composed of a variety of market participants and members of the public. The first panel, starting at 9:30 a.m., will discuss the

The SEC's Office of Investor Education and Advocacy iissued an Investor Bulletin to help educate investors about the effects of chills and freezes on an investor's ability to hold and trade securities. A "chill" is a limitation of certain services available for a security on deposit at The Depository Trust Company("DTC"). A "freeze," formally referred to as a "global lock," is a complete restriction on all DTC services for a particular security on deposit at DTC. View bulletin in full here (links externally to SEC website).