The latest Advisers Act Enforcement Action -- Andrey C. Hicks; IA-3419 (released 06/15/2012).

The SEC is requesting public comment on a statement of general policy ("Statement") on the anticipated sequencing of the compliance dates of final rules to be adopted by the SEC pursuant to certain provisions of Title VII of the Dodd-Frank Act, and the Exchange Act, as amended by those provisions. These provisions establish a framework for the regulation of security-based swaps and security-based swap market participants under the Exchange Act. The Statement presents a sequencing of the compliance dates for these final rules by grouping the rules into five categories and describes the

This guidance is effective January 1, 2013. View guidance in full here (links externally to Federal Register website).

On April 17, 2012, NYSE Amex LLC filed with the SEC, pursuant to Section 19(b)(1) of the Exchange Act and Rule 19b-4 thereunder, a proposed rule change to amend NYSE Amex Equities Rule 107B to add a class of Supplemental Liquidity Providers (“SLP”) that are registered as market makers at the Exchange. The proposed rule change was published for comment in the Federal Register on April 23, 2012. The Commission received no comment letters on the proposal. This order approves the proposed rule change. View all upcoming changes to NYSE Rule 107B here (links externally to SEC website).

On June 13, the MFA submitted a comment letter to the SEC in support of ICE Clear Credit LLC's portfolio margining petition. In the letter, the MFA urged the SEC to grant the petition as soon as possible because of the significant benefits to customers in the form of capital efficiencies and clearing access that result from portfolio margining and netting of offsetting positions in single-name credit default swaps ("Security-Based CDS") and broad-based indices ("Index CDS"). The MFA also supported ICE Clear Credit's petition request to hold customer positions in Security-Based CDS and Index