SEC Director of the Division of Enforcement Robert Khuzami gave remarks on the settlement of enforcement actions in connection with RMBS offerings. View speech in full here (links externally to SEC website). See also: News item - SEC Charges Firms in Connection with RMBS Offerings

SEC Director of the Division of Enforcement Robert Khuzami gave remarks on the alleged $276 million insider trading scheme. View remarks in full here (links externally to SEC website).

The Office of the Comptroller of the Currency (OCC) is publishing the maximum amount, adjusted for inflation, of each civil money penalty (CMP) within its jurisdiction to administer. Effective Date: December 6, 2012. View rule release here: 77 FR 66529 .

NFA submitted the following rule submission letters to the CFTC: November 20, 2012 - National Futures Association: Assessment Fee - Amendments to Interpretive Notice entitled: NFA Bylaw 1301(b): NFA's Assessment Fee - Diminutive Notional Value Contracts and Security Futures Products November 20, 2012 - National Futures Association: Cleared Swaps Customer Collateral Accounts - Proposed Amendments to NFA Financial Requirements Section 16 and the Related Interpretive Notice November 20, 2012 - National Futures Association: NFA Member FCMs Acting as a Counterparty to Off-Exchange Foreign Currency

The MSRB announced the availability of MyEMMA, a free tool that provides customized access to municipal securities information available on the Electronic Municipal Market Access (EMMA®) website. "MyEMMA will provide market participants with greater control over their user experience with EMMA and facilitate access to EMMA’s search and alerts features"; said MSRB Executive Director Lynnette Kelly. View Press Release in full here (links externally to MSRB website).