77 FR 15460 The CFTC is proposing regulations that would define the criteria for grouping swaps into separate swap categories and would establish methodologies for setting appropriate minimum block sizes for each swap category. In addition, the CFTC is proposing further measures under the its regulations to prevent the public disclosure of the identities, business transactions and market positions of swap market participants. Comments Due: May 14, 2012 Cross References: Dodd-Frank Section 727; CEA Section 2(a)(13); CFTC Rules, new Part 43; Proposed CFTC Rules page; 75 FR 76139; 77 FR 1182. For

U.S. Securities and Exchange Commission 15 March 2012 The Securities and Exchange Commission today announced that it has established comprehensive arrangements with the Cayman Islands Monetary Authority (CIMA) and the European Securities and Markets Authority (ESMA). The arrangements will enhance the ability of the SEC to share information about such regulated entities as investment advisers, investment fund managers, broker-dealers, and credit rating agencies. Cross References: http://www.sec.gov/about/offices/oia/oia_bilateral/cayman-mou.pdf

FINRA Reg. Notice 12-15 Pursuant to an SEC order, FINRA has established an accounting support fee (GASB Accounting Support Fee) to adequately fund the annual budget of the Governmental Accounting Standards Board (GASB). For 2012, FINRA will assess and collect a total of $8,451,300 for the GASB Accounting Support Fee by collecting $2,112,825 from its member firms each calendar quarter. The GASB Accounting Support Fee will be collected quarterly from member firms that report trades to the MSRB. Each member firm’s assessment will be based on the member firm’s portion of the total par value of

See the Guidance Release here. The Division of Swap Dealer and Intermediary Oversight of the CFTC is issuing this letter to assist CPOs with the preparation and filing of commodity pool annual financial reports required under the CEA and CFTC regulations, and to provide information regarding recently adopted regulatory changes. This letter highlights current regulatory changes affecting CPOs with respect to financial filings and provides reminders of regulatory requirements in response to common deficiencies observed in prior years’ annual reports. CPOs, including those that operate in non-U.S

The latest SEC Enforcement Action concerning the Investment Advisers Act -- Jason Pflaum; IA-3380 (released 03/07/2012).