The SEC has approved amendments to MSRB G-32 (Disclosures in Connection with Primary Offerings) and G-34 (CUSIP Numbers, New Issue, and Market Information Requirements) intended to streamline the process by which underwriters submit data in connection with primary offerings. The amendments integrate the submission of data to the New Issue Information Dissemination Service ("NIIDS"), operated by the Depository Trust and Clearing Corporation, with the Electronic Municipal Market Access system. In connection with this integration, the MSRB made several other related amendments and revisions

Comptroller of the Currency, Thomas Curry, has announced that Karen Solomon will begin a three-month term as acting Chief Counsel on January 1 while the agency continues its search for a successor to Julie Williams. Click here to view notice in full (links externally to OCC website).

The SEC has published the most current official list of Section 13(f) securities. Click here to view list in full (links externally to SEC website).

The SEC has announced additional charges in an insider trading case against two brokers who traded on nonpublic information ahead of IBM's acquisition of SPSS Inc. The original source of the information was claimed by the SEC to be an associate at a New York Law firm. See: SEC Complaint. See also: SEC Dec. 26 Press Release; initial charges brought by the SEC.

FINRA has released the attached notice which lists: disciplinary actions against firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB). The most common reason for firms to be fined was for violations of the various trade reporting rules. Click hereto view notice in full (links externally to FINRA website).