In this issue:

- SEC Approves FINRA Rule Limiting Expungement

- CFTC Issues No-Action Relief from Certain Ownership and Control Reporting Requirements

- CFTC Releases Rule Enforcement Review of ICE Futures U.S.

- SEC Issues Guidance on Proxy Voting

- District Court Reaffirms Rule 10b5-1 Standard and Denies Motion to Dismiss Insider Trading Charges

- SEC Settles Third-Party Insider Trading Claim Against Investor Relations Executive

- Excerpt from CFTC Issues No-Action Relief from Certain Ownership and Control Reporting Requirements:

On November 18, the Commodity Futures Trading Commission adopted rules modifying its ownership and control reporting requirements. Specifically, the CFTC adopted (i) a new Form 71 to collect information regarding omnibus accounts that exceed a specified volume threshold; (ii) a revised Form 40/40S (Reporting Traders); and (iii) a revised Form 102 (Special Accounts), which has three parts: Form 102A (special accounts), Form 102B (volume threshold accounts) and Form 102S (swaps). The new reporting requirements were to be effective August 15, 2014.

Please see full newsletter below for more information.

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SEC

DISCLAIMER: Because of the generality of this update, the information provided herein may not be applicable in all situations and should not be acted upon without specific legal advice based on particular situations.

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