This document corrects the Federal Register releaseof the final rule regarding Core Principles and Other Requirements for Designated Contract Markets by inserting a missing instruction to add Appendix C to 17 CFR Part 38 ("Designated Contract Markets"). This is a correction to the Federal Register only, which does not affect the text of Appendix C as published in the final rule. Effective Date: May 29, 2013. See: 78 FR 32988.

The SEC approved amendments to the definition of public arbitrator in the Customer and Industry Codes of Arbitration Procedure. The amended definition excludes persons associated with a mutual fund or hedge fund from serving as public arbitrators and requires individuals to wait for two years after ending certain affiliations before FINRA may permit them to serve as public arbitrators. The amendments are effective on July 1, 2013, and apply to all cases in which FINRA has not sent to the parties lists of chair-qualified public arbitrators and public arbitrators for arbitrator selection

The SEC announced the second-largest trading suspension in agency history as it continued its "Operation Shell Expel" crackdown against the manipulation of microcap shell companies. The SEC suspended trading in the securities of 61 empty shell companies that are delinquent in their public filings and seemingly no longer in business based on an analysis by the SEC's Microcap Fraud Working Group. See: SEC Press Release. See also: List of the 61 Companies; Trading Suspension Order; Investor Bulletin: Trading Suspensions.

SEC Chair Mary Jo White today announced that she has appointed Robert E. Rice as her Chief Counsel. As Chief Counsel, Mr. Rice will serve as a senior legal and policy advisor to the Chair and provide advice and counsel on a wide variety of regulatory matters. As a former federal prosecutor, and having served for over nine years in the Southern District of New York office, Mr. Rice comes to the SEC from Deutsche Bank AG in New York, where he was head of governance, litigation and regulation for the Americas, and the global co-head of its governance, litigation and regulation operating committee

SIFMA submitted two applications with the SEC for an order setting aside rule changes of certain SROs limiting access to market data; i.e., increasing the fees that the SROs are charging to obtain the data. See : SIFMA Application for an Order Setting Aside Rule Changes of Certain SROs Limiting Access to Their Services. See also : SIFMA Application for an Order Setting Aside Rule Change of NYSE Arca Limiting Access to Its Services.