The SEC announced that EDGAR modifications will be available starting October 1, 2012. Issuers may choose to submit their draft registration statements using the current secure email system or the new EDGAR system. The SEC stated that it will provide each issuer that has submitted a draft registration statement since April 5, 2012 (and that has not yet filed a registration statement on EDGAR), a letter with instructions on how to transition to the new system. In June, the SEC made an announcement that it was building an EDGAR-based system through which certain Emerging Growth Companies and

See below for date, rulemaking discussed, CFTC staff present, visitors, and organizations represented. WHEN: 9/25/2012 Rulemaking(s): General CFTC Staff: Jill SommersMarcia BlaseKevin BattehJon DeBord Visitor(s): Robert FernandezSara KeganKevin JonesSheri Pevratil (by phone)Heather Glass (by phone)Mary McGavey (by phone) Organization(s): NYISOHunton Williams

The CFTC announced that Weidong Ge (Ge) and Sheenson Investments, Ltd. (Sheenson), both of Shanghai, China, agreed to pay disgorgement of $1 million and a $500,000 civil monetary penalty to settle CFTC charges that they exceeded speculative position limits in Soybean Oil and Cotton No. 2 futures contracts. This is the second major enforcement action (link to news item on a prior action) the CFTC has issued in a week relating to position limits in agricultural commodities. Clients interested in the manner in which position limits are calculated and will be calculated may contact Paul Pantano or

The SEC has released this investor bulletin featuring its top five tips for investors in selecting a financial professional. Besides providing advice, the bulletin contains a checklist of questions. The five tips (in summary) are the following: Do your homework and ask questions. Find out whether the products and services available are right for you. Understand how you'll pay for services and products, and how your financial professional gets paid as well. Ask about the financial professional's experience and credentials. Ask the financial professional if he or she has had a disciplinary

This list of “Section 13(f) securities” -- current as of September 15, 2012 -- is made available to the public pursuant to the Exchange Act, and may be relied on by institutional investment managers filing Form 13F reports for the calendar quarter ending September 30, 2012. Reporting requirements under 13(f) are discussed in the Trading Chapter of the Broker-Dealer Guide. View notice here (links externally to SEC website).