The SEC announced the agenda for a meeting of its Advisory Committee on Small and Emerging Companies on Wednesday, May 1. See below for the full agenda. 9:30 a.m. Opening Remarks M. Christine Jacobs and Stephen M. Graham, Advisory Committee Co-Chairs Lona Nallengara, Acting Director, SEC Division of Corporation Finance 9:45 a.m. Presentation by and discussion with Duncan L. Niederauer, Chief Executive Officer, NYSE Euronext 11:00 a.m. Break 11:15 a.m. Presentation by and discussion with William R. Hambrecht, Chairman and Chief Executive Officer, WR Hambrecht + Co. 12:30 p.m. Lunch 2:00 p.m

The SEC announced the agenda for its Credit Ratings Roundtable, which will be held at the SEC's headquarters in Washington, D.C., on May 14. The roundtable, which was previously announced, will consist of three panels, with panelists to be named later. The first panel will discuss the potential creation of a credit rating assignment system for asset-backed securities. The second panel will discuss the effectiveness of the SEC's current system to encourage unsolicited ratings of asset-backed securities. The third panel will discuss other alternatives to the current issuer-pay business model, in

NFA published the attached notice to remind members that provisionally registered swap dealers (SDs) and major swap participants (MSPs) are required to submit policies and procedures relating to those requirements no later than Wednesday, May 1, 2013. NFA further requests that members submit SD and MSP policies and procedures prior to the CFTC's required submission date to allow time for NFA staff to confirm receipt of responsive materials and to accommodate potential follow-up with SDs and MSPs in the event of an incomplete submission. In its December 18, 2012 Interim Final Rule, the CFTC

The SEC announced that Acting Director George Canellos and former federal prosecutor Andrew Ceresney have been named Co-Directors of the Division of Enforcement. Click here to learn more (links externally to SEC website).

The SEC announced a non-prosecution agreement ("NPA") with Ralph Lauren Corporation in which the company agrees to disgorge profits obtained in connection with bribes paid by a subsidiary to government officials in Argentina from 2005 to 2009. "When they found a problem, Ralph Lauren Corporation did the right thing by immediately reporting it to the SEC and providing exceptional assistance in our investigation," said George S. Canellos, Acting Director of the SEC's Division of Enforcement. "The NPA in this matter makes clear that we will confer substantial and tangible benefits on companies