Commissioner Philip D. Moeller announced that he will be leaving the Federal Energy Regulatory Commission at the end of October.

FINRA's proposed amendments to rules governing the reporting of over-the-counter transactions in equity securities to FINRA "Facilities" (including the Alternative Display Facility and Trade Reporting Facilities) were published in the Federal Register. The proposal will allow the submission of "clearing-only, non-regulatory reports" relating to previously executed and reported transactions and will exempt such reports from certain reporting requirements under FINRA rules. Comments on the proposal should be submitted by October 27, 2015.

FINRA published an Election Notice announcing the nominee to fill the Small Firm vacancy on the National Adjudicatory Council ("NAC"). The sole Small Firm NAC Member candidate is Joshua Roberts, Chief Executive Officer of Arete Wealth Management, LLC, in Schaumburg, Illinois. Mr. Rogers will begin his term on January 1, 2016.

FINRA proposed revisions to the content outline and selection specifications for the Financial and Operations Principal ("Series 27") and the Introducing Broker-Dealer Financial and Operations Principal ("Series 28") examination programs. The proposed revisions for both examination programs would update the material to reflect changes to the laws, rules and regulations covered by the examinations and to incorporate their functions and associated tasks. FINRA also proposed to make changes to the format of the content outline of both examination programs.

The SEC approved amendments to FINRA Rule Series 9100 ("Application and Purpose"),9200 ("Disciplinary Proceedings"), 9300 ("Review of Disciplinary Proceeding by National Adjudicatory Council and FINRA Board; Application for SEC Review"), 9550 ("Expedited Proceedings") and 9800 ("Temporary Cease and Desist Orders") regarding temporary and permanent cease and desist orders. The approved amendments will become effective on November 2, 2015.