The SEC Advisory Committee on Small and Emerging Companies is providing notice that it will hold a public meeting on September 7th 2012, in the Commission's San Francisco Regional office. The agenda for the meeting includes discussions of market structure issues and their impact on initial public offerings and other matters relating to rules and regulations affecting small and emerging companies under the federal securities laws. The public is invited to submit written statements to the Committee. [Lofchie's Comment: The meeting is likely to discuss issues relating to the implementation of the

The CFTC approved a final rule to conform the CFTC's existing intermediary registration rules to changes made to the CEA by the Dodd-Frank Act. In large part, these final regulations are based on the CFTC's proposed regulations regarding part 3 (Registration). The conforming amendments largely consist of adding references, where appropriate, to SDs, MSPs and swap execution facilities (SEFs). In addition, the adopted regulations contain modernizing and technical amendments to part 3 in anticipation of an influx of new registrants. Further, the adopted regulations clarify or update definitions

SIFMA and NetCoalition commented in opposition to the notice under which NASDAQ OMX PHLX LLC proposed a rule change to establish new fees for its "managed data solution" Top of Options ("TOPO") data product. The comment argues that the exchange's proposed fees would not be fair and reasonable. Cross-Reference(s): Exchange Act Sections 19(b)(3)(A) and 11A(c)(1)(C). View letter in full here (links externally to SIFMA website).

The OCC published a proposed rule for comment in the Federal Register regarding annual stress test reporting. The bank regulators' views as to the benefits of "stress testing" were discussed at moderate length in FSOC's first annual report on the stability of the financial system, particularly in Chapter 6 of that Report. (The report is linked to a news item dated July 19.) Comments Due: October 15, 2012 Cross-Reference(s): Dodd-Frank Act Section 165(i)(2). View in full here (links externally to OCC website).

The CFTC adopted Part 165 of its Regulations to implement the CFTC's Whistleblower Program. CFTC Regulation 165.19 provides that a pre-dispute arbitration agreement will not be valid or enforceable if it requires a party to arbitrate a claim that arises under the Whistleblower Rules. Cross-Reference(s): CFTC Rule 165.19. View notice in full here (links externally to NFA website).