See: 77 FR 38229 The CFTC issuing a notice of proposed rulemaking pertaining to block trades in swap contracts limits the scope of the exemption from certain Dodd-Frank requirements for such trades. The proposed rule would, prevent traders from pooling together smaller orders from different accounts to meet the block-trade threshold. In particular, the provisions would: (i) prohibit the aggregation of orders for different trading accounts in order to satisfy the minimum block size or cap size requirements, except for orders aggregated by certain commodity trading advisors ("CTAs"), investment

View release in full here (links externally to SEC website).

See: 77 FR 38421 The SEC is adopting a new rule and amendments to its proxy disclosure rules to implement Section 952 of the Dodd-Frank Act, which added Section 10C to the Securities Exchange Act of 1934. Section 10C requires the SEC to adopt rules directing the national securities exchanges and national securities associations to prohibit the listing of any equity security of an issuer that is not in compliance with Section 10C's compensation committee and compensation adviser requirements. In accordance with the statute, new Rule 10C-1 directs the national securities exchanges to establish

On June 5, 2012, the Federal Reserve Board published a notice of final approval of a proposed information collection under OMB delegated authority, per 5 CFR 1320.16 (OMB Regulations on Controlling Paperwork Burdens on the Public). This is a 30-day extension of the public comment period. Comments Due: August 6, 2012 Cross Reference(s): Dodd-Frank Section 165 View release in full here (links externally to Federal Register website).

FINRA Reg. Notice 12-31 Effective July 1, 2012, the Trading Activity Fee (TAF) rate for sales of covered equity securities will increase from $0.000095 per share for each sale of a covered equity security to $0.000119 per share, with a corresponding increase to the per-transaction cap for covered equity securities from $4.75 to $5.95. The new rate applies to any sale of a covered equity security subject to the TAF occurring on or after July 1, 2012. Cross References: SEC Release No. 34-67242 (June 22, 2012) (Approval of Rule Change; File No. SR-FINRA-2012-023); FINRA By-Laws, Schedule A, 1(a)