SEC Director of the Division of Enforcement Robert Khuzami gave remarks on the settlement of enforcement actions in connection with RMBS offerings. View speech in full here (links externally to SEC website). See also: News item - SEC Charges Firms in Connection with RMBS Offerings

SEC Director of the Division of Enforcement Robert Khuzami gave remarks on the alleged $276 million insider trading scheme. View remarks in full here (links externally to SEC website).

The SEC announced that on July 31, 2012, following a two week trial in the United States District Court for the Southern District of New York, a jury found that former Citigroup Global Markets Inc. employee Brian H. Stoker was not liable for violations of the Federal securities laws related to the issuance of a $1 billion collateralized debt obligation (CDO) called Class V Funding III. The SEC originally filed its suit against Stoker on October 19, 2011. The SEC alleged that Citigroup structured and marketed Class V III and exercised significant influence over the selection of $500 million of

The table below indicates the participants and subjects of the meetings, many dealing with SEF Registration, for November 21, 2012. Click on the links below for more information. MEETING WITH RULEMAKING Goldman Sachs SEF Registration Direct Energy General UBS SEF Registration Javelin General Eris Exchange General American Gas AssociationNorthwest Natural Gas CompanyAtmos Energy CompanyMidAmerican Energy CompanyNational Fuel Gas Distribution Company General Ed Rosen General UBS General ICE General Bloomberg SEF Registration Barclays SEF Registration Tradeweb SEF Registration ISDA General

The CFTC approved the application of Chicago Mercantile Exchange, Inc. for provisional registration as a swap data repository pursuant to CEA Section 21 and CFTC Rule Section 49.3(b). Lofchie Comment: To some extent, this SDR is the focus of the litigation between CME and the CFTC. That is, the CME generally wants to direct reports on CME markets to its affiliated SDR and the CFTC proposes to give trade participants their choice as to which SDR to direct trade reports. Link here to news item on the lawsuit. View letter in full here (links externally to CFTC website).