In this issue:

- SEC Issues New FAQs on Conflict Minerals

- SEC Issues Frequently Asked Questions Regarding the Amendments to the Broker-Dealer Reporting Rule

- FINRA Requests Comment on Rules Regarding Communications with the Public and Gifts, Gratuities and Non-Cash Compensation

- CFTC Extends Relief to FCMs from Certain Commingling Requirements

- CFTC Seeks Comments on ICE Clear Europe Petition

- CFTC Reissues and Clarifies Relief Regarding Swaps Trading on MTFs

- Foreign Judgment in Criminal Fraud Action Enforceable in New York

- SEC Obtains Settlement for Violations of Registration Rules and “Layering”

- Banking Agencies Adopt Enhanced Supplementary Leverage Ratio Final Rule

- Federal Reserve Extends Compliance Deadline for CLOs

- Excerpt from SEC Issues Frequently Asked Questions Regarding the Amendments to the Broker-Dealer Reporting Rule:

The Securities and Exchange Commission’s Division of Trading and Markets has issued frequently asked questions (FAQ) concerning the amendments adopted on July 30, 2013, to Rule 17a-5 (Broker-Dealer Reporting Rule) of the Securities Exchange Act of 1934 (Exchange Act).