New SRO rules and rule proposals have been announced by the SEC. Click on the links below to view the SEC's notice of the rule changes. NASDAQ: Effective Immediately - Proposed Rule Change to Implement Transition to Friday Expiration for Most Options Contracts (See also: Exhibit 5) NASDAQ OMX BX: Effective Immediately - Proposed Rule Change to Implement Transition to Friday Expiration for Most Options Contracts (See also: Exhibit 5) Phlx: Effective Immediately - Proposed Rule Change to Implement Transition to Friday Expiration for Most Options Contracts (See also: Exhibit 5)

The SEC, Board of Governors of the Federal Reserve System ("FRB"), Consumer Financial Protection Bureau ("CFPB"), FDIC, National Credit Union Administration ("NCUA") and Office of the Comptroller of the Currency ("OCC") proposed joint standards for assessing the diversity policies and practices of the institutions that they regulate. These standards are required by Section 342 of Dodd-Frank (Office of Minority and Women Inclusion). The proposed standards are intended to promote the transparency and awareness of diversity policies and practices within the institutions. The assessment standards

The CFTC has announced that it filed 82 enforcement actions in fiscal year ("FY") 2013, bringing the total over the past three fiscal years to 283 - nearly double the number of actions brought during the prior three fiscal years. The Division of Enforcement ("Division") also imposed more than $1.7 billion in sanctions, including orders for more than $1.5 billion in civil monetary penalties and more than $200 million in restitution and disgorgement. The Division noted, however, that the total number of actions is down compared to FY 2012. The CFTC details the following as enforcement highlights

The FDIC announced the signing of a Memorandum of Understanding ("MOU") between the agency and the People's Bank of China ("PBOC"). The intent of the MOU is to: (i) extend the parties' international working relationship in the areas of deposit insurance and resolution, (ii) develop and expand the interaction between the FDIC and the PBOC, and (iii) demonstrate a shared commitment to cooperation among banking agencies. The MOU also seeks to enhance cooperation on cross-border financial institution recovery and resolution issues, as well as planning for potential recovery and resolution

The CFTC has announced that it will hold a public meeting on Tuesday, November 5, 2013, at 9:30 a.m. to consider position limits for derivatives as well as other matters. For details, see below. WHAT: Position Limits for DerivativesAggregation of Accounts under Part 150, Position Limits*Note: Other items may be added to the agenda. WHERE: CFTC Headquarters Conference Center, Three Lafayette Centre, 1155 21st Street NW, Washington, DC 20581 WHEN: Tuesday, November 5, 2013, at 9:30 a.m. Viewing/Listening Information: The CFTC has made available the following options to access the meeting: Watch