The Financial Services Authority will be hosting a number of events between October 2012 and January 2013. The events are intended to provide industry participants with the opportunity to meet with representatives across the FSA to discuss current and upcoming developments in changes to the structure of regulatory supervision in the UK. The events will include a number of sector-specific roundtables focusing on the approach of the Financial Conduct Authority, and, on October 22, two separate half-day events jointly sponsored by the Bank of England and the FSA will focus on the Prudential

The MSRB has made available this educational webinar about the EMMA Trade Monitor. The Trade Monitor is a new tool that allows state and local governments to better evaluate trading activity and prices paid for bonds that they issue. See also: Press Release; September 11 Cabinet news entry.

The CFTC announced that it has filed a federal civil enforcement action charging Grahame Rhodes of St. Louis (who has never been registered with the CFTC in any capacity). He has been charged with fraud in connection with operating a decade-long, multi-million dollar commodity pool Ponzi scheme. View complaint here(links externally to CFTC website). See also: CFTC Press Release.

The MSRB announced that Gary L. Goldsholle will be joining as General Counsel and will be responsible for overseeing all legal activities of the MSRB, including market regulation, professional qualifications, enforcement support and corporate governance. Mr. Goldsholle is joining the MSRB from FINRA; previously, he worked at the CFTC.

Listed below are new SRO rules and rule proposals. Today's are from BOX and CBOE: BOX: Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Amend the Price Improvement Period CBOE: Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Increase the Maximum Term for LEAPS to Fifteen Years