FINRA Reg. Notice 12-21 The SEC approved amendments to FINRA Rule 13201 of the Code of Arbitration Procedure for Industry Disputes (Industry Code) to provide that a dispute arising under a whistleblower statute that prohibits the use of predispute arbitration agreements is not required to be arbitrated under the Industry Code. Parties may arbitrate such a dispute only if they have agreed to arbitrate it after the dispute arose. The rule change aligns the Industry Code with statutes that invalidate predispute arbitration agreements for whistleblower disputes. The rule change also makes a

The latest Advisers Act Enforcement Action -- MidSouth Capital, Inc. and Mark D. Hill; IA-3398, IC-30038, 34-66828 (released 04/18/2012).

View study here. A ll Dodd-Frank related studies and reports can be accessed via our Dodd-Frank Studies table. Cross Reference Dodd-Frank § 342

The SEC today charged a Chicago-based securities dealer affiliated with online brokerage firm optionsXpress with violating the registration provisions of the securities laws when it continued trading operations after delisting from the Chicago Board Options Exchange (CBOE) and deregistering with the SEC, apparently to avoid an audit. View full release here, or link to the SEC Order (links externally to SEC website).

by Chairman Mary L. Schapiro U.S. Securities and Exchange Commission Before the Subcommittee on TARP, Financial Services and Bailouts of Public and Private Programs Oversight and Government Reform CommitteeU.S. House of Representatives April 17, 2012 View testimony in full here (links externally to SEC website).