European Securities and Markets Authority June 25, 2012 ESMA is seeking views on regulatory and implementing technical standards under EMIR in relation to OTC derivatives, CCP requirements and trade repositories. Comments should be submitted to ESMA by August 5, 2012.

The European Securities and Markets Authority (ESMA) released a consultation paper on its draft technical standards for regulation of OTC derivatives. The technical standards are now open for public comment through August 5, 2012.

See: 77 FR 38421 The SEC is adopting a new rule and amendments to its proxy disclosure rules to implement Section 952 of the Dodd-Frank Act, which added Section 10C to the Securities Exchange Act of 1934. Section 10C requires the SEC to adopt rules directing the national securities exchanges and national securities associations to prohibit the listing of any equity security of an issuer that is not in compliance with Section 10C's compensation committee and compensation adviser requirements. In accordance with the statute, new Rule 10C-1 directs the national securities exchanges to establish

FINRA Reg. Notice 12-32 Effective July 2, 2012, FINRA is increasing fees for (1) reviewing advertising material filed with FINRA and (2) filing offering documents pursuant to FINRA Rule 5110. Effective July 23, 2012, FINRA is increasing its new member application filing fee and imposing a new continuing membership application filing fee. Effective January 2, 2013, FINRA is changing fees relating to (1) the Central Registration Depository (CRD), including fees for initial/transfer registration, disclosure filing, system processing, fingerprint processing, mass transfer registration and late

The latest Advisers Act Enforcement Action -- Roberto Aleph Espinosa; 34-67267, IA-3423 (released 06/26/2012).