BOX - Proposed Rule - Amend the Price Improvement Period (See also: Exhibit 5)

The FDIC issued its list of state nonmember banks recently evaluated for compliance with the Community Reinvestment Act (CRA). The list covers evaluation ratings that the FDIC assigned to institutions in May 2012. View press release in full here (links externally to FDIC website). Additional Materials: Monthly list of Banks Examined for CRA Compliance; August 2012 List of Banks Examined for CRA Compliance

The MFA submitted a comment letter to the ESMA in response to its Consultation Paper on “Draft Technical Standards for the Regulation of OTC Derivatives, CCPs and Trade Repositories.#8221; [SL Comment: For those interested in ongoing developments in the regulation of derivatives in Europe, a more interesting letter than the title might suggest.] The letter comments on a wide variety of topics relevant to the regulation of derivatives in the EU, topics such as the governance of clearing houses (the MFA favors end-user involvement), to the determination of margin requirements, to trade

Applicants, including an actively managed open-end exchange traded fund, requested an order that would permit them to enter into, and materially amend, subadvisory agreements without shareholder approval. This SEC order grants an exemption from section 15(a) and rule 18f-2 under the Investment Company Act, as well as from certain disclosure requirements. View order in full here (links externally to SEC website). See also: July 11, 2012 news entry.

BATS - Proposed Rule - Amend BATS Rule 14.11, Entitled "Other Securities" CBOE - Effective Immediately - Establish a Rule Regarding Records of Written Complaints for the CBOE Stock Exchange CBOE - Effective Immediately - Amend the CBOE Stock Exchange Fees Schedule CBOE - Effective Immediately - Extension of a CBSX Clearly Erroneous Policy Pilot Program CBOE - Effective Immediately - Related to the Extension of the CBSX Individual Stock Trading Pause Pilot Program CHS - Effective Immediately - Extend the Pilot Program Relating to Individual Securities Circuit Breakers CHX - Effective