The NASAA announced at its annual conference a new investor outreach initiative to provide investor education resources to Native American and First Nations populations in the United States and Canada. View news release here(links externally to NASAA website).

The SEC has released updated versions for the DRAFT EDGAR Filer Manual, Volumes I and II. DRAFT EDGAR Filer Manual (Volume I) - General Information (Version 14) DRAFT EDGAR Filer Manual (Volume II) - EDGAR Filing (Version 21)

The SEC’s Office of Investor Education and Advocacy issued this bulletin to help educate investors and to inform investors about the SEC’s database for securities certificates reported lost, stolen, missing, or counterfeit. View bulletin here (links externally to SEC website). See also: Investor.gov.

Rules changes from FINRA and NYSE Arca: FINRA: Proposed Rule - Amending the Customer and Industry Codes of Arbitration Procedure Relating to Subpoenas and to Arbitrator Authority to Direct the Appearance of Associated Person Witnesses and the Production of Documents without Subpoenas NYSE Arca: Effective Immediately - Amending the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services to Eliminate the Tape A Step Up Tier, Modify the Remaining Tape Step-Up Tiers and Introduce an Alternative Method of Qualifying for Tier 1 (See also: Exhibit 5) NYSE Arca: Effective Immediately -

FINRA announced that, effective October 15, 2012, Greg Ahern will join FINRA as Executive Vice President for Corporate Communications and Government Relations. Mr. Ahern previously served in a similar role at the Investment Company Institute. View news release here(links externally to FINRA website).