1. Knight to Acquire Market Maker Businesses.
2. SEC's New Corp. Finance Associate Directors.
3. Stanley Brokerage Exec Moves to Private Banking.
4. Wolters Kluwer to Acquire Regulatory Reporting Group.
5. Piper Jaffray Plans Spinoff.

    1.  Knight to Acquire Market Maker Businesses.   Knight Capital Group has agreed to acquire the designated and lead market maker businesses of Kellogg Capital Markets - which together make markets in about 800 stocks listed on the NYSE and Amex, as well as 322 ETF's listed on Arca.  Currently, Knight is a supplemental liquidity provider on NYSE and an Amex DMM, is an electronic market maker, and provides institutional ETF sales and trading.   [Securities Tech Monitor, 10/29]

    2.  SEC's New Corp. Finance Associate Directors.   Karen Garnett and Mark Kronforst were named Associate Directors in the Commission's Division of Corporation Finance.  They will join Associate Directors Paul Belvin, Jim Daly and Barry Summer in overseeing the Division's full disclosure program under the leadership of Shelley Parratt, the Deputy Director of Disclosure Operations.  Ms. Garnett has served as Assistant Director of the Division's Office of Real Estate and Business Services since 2000, and previously served as a Special Counsel and as an Attorney Advisor in the Divisions of Corporation Finance and Investment Management.  Mr. Kronforst has served as the Division's Deputy Chief Accountant since 2009, and previously served as a Branch Chief and Assistant Chief Accountant in the Division's Office of Computers and Online Services.   [SEC PR 10-188, 10/12]

    3.  M. Stanley Brokerage Exec Moves to Private Banking.   Shelley Hanan, 49, is the new interim CEO of Morgan Stanley's private bank - she previously was CAO of Morgan Stanley Smith Barney.  M. Stanley also hired Mark Connolly as the private bank's head of products.  It's expected that Ms. Hanan will lead the bank's push to offer more products, such as jumbo mortgages and structured loans to its brokerage clients.  Cecelia "Cece" Stewart left last month to run Citi's N. American retail bank.   [Investment News, 10/15]

    3.  M. Stanley Brokerage Exec Moves to Private Banking.   Shelley Hanan, 49, is the new interim CEO of Morgan Stanley's private bank - she previously was CAO of Morgan Stanley Smith Barney.  M. Stanley also hired Mark Connolly as the private bank's head of products.  It's expected that Ms. Hanan will lead the bank's push to offer more products, such as jumbo mortgages and structured loans to its brokerage clients.  Cecelia "Cece" Stewart left last month to run Citi's N. American retail bank.   [Investment News, 10/15]

    4.  Wolters Kluwer to Acquire Regulatory Reporting Group.   Brian Longe, CEO of Wolters Kluwer Financial & Compliance Services says the addition of FRSGlobal, a Brussels-based regulatory reporting group, creates the world's largest compliance and risk management business focused on financial services, with more than 15,000 banking, insurance and securities customers across the globe.  The acquisition comes right after the landmark Basel III agreement was passed, setting new capital adequacy rules for financial institutions, and just a week after IBMK announced a similar deal to take over regulatory reporting and compliance outfit OpenPages.   [Finextra, 9/23]

    5.  Piper Jaffray Plans Spinoff.   The Minnesota investment bank will spin-off its private capital business by year's end to Scott Barrington, a principal and an 11-year veteran of the unit, which will be renamed "North Sky Capital."      [WSJournal, 10/13]