The MSRB published an educational resource on its website to help newly registered municipal advisers prepare for regulatory oversight by providing information as to the importance of registration, the role of the MSRB and what it means to be regulated by an SRO. The resource also is intended to help municipal advisers to assess their business practices and access available resources, and to stay informed about MSRB activities. See: Preparing for Regulation: A Guide for Municipal Advisors.

SEC-approved amendments to FINRA Rule 9217 ("Violations Appropriate for Disposition under Plan Pursuant to SEA Rule 19d-1(c)(2)") were published in the Federal Register. The amendments include additional rules for disposition pursuant to FINRA Minor Rule Violation ("MRVP"). The rule change became effective September 26, 2013. See: 78 FR 60982. Related New s : SEC Approves Amendments to FINRA Rule 9217 (September 27, 3013); FINRA Files Additional Amendments to Proposed Rule Change for Rule 9217 (August 8, 2013).

The SEC launched a new website to provide investors and others with the ability to interactively explore a range of new market metrics, and access empirical research and analyses that inform the broader public debate on market structure. The new website will serve as a central location for the SEC to publicly share data, research and analysis as the agency continues its review of the equity of market structure. The information on the website includes data from the internal Market Information Data Analytics System ("MIDAS"), which the SEC launched earlier this year. The new website allows users

SIFMA submitted a comment letter to Speaker Boehner (R-OH) and Congresswoman Pelosi (D-CA) expressing strong support for H.R. 992. The House Bill relates to Dodd-Frank Section 716 ("Prohibition against Federal Government Bailouts of Swaps Entities") (also known as "Lincoln" or "push out"), which requires commercial banks to push out or remove certain swaps activities from the bank and establish and capitalize a separate affiliate. As a result of this section, SIFMA's position is that financial institutions could no longer be eligible for netting and other efficiencies, and SIFMA clients will

The SEC announced that Daniel M. Hawke will step down as the Director of the Philadelphia Office. Mr. Hawke served dual senior officer roles at the SEC for nearly four years in leading the Market Abuse Unit and acting as the Director of the Philadelphia Office. Mr. Hawke will continue his role as Chief of the Enforcement Division's Market Abuse Unit. See: SEC Press Release.