1. FINRA: Section 31 Fees. 
2. NYSE, Amex:  Quoting and Volume Reqs.
3. SEC: Audit Reports to be Included in B/D Filings.
   

     2.  NYSE, Amex:  Quoting and Volume Reqs.    Certain amendments to NYSE and Amex Equities Rule 107B, Supplemental Liquidity Providers, have been in effect since 10/1/10.  The rule was amended at both exchanges to:  (i) modify the quoting requirement applicable to SLPs (10% for NYSE, 5% for Amex);  (ii) add, for NYSE SLPs only, a requirement that the SLP provide average daily volume (ADV) of more than 10mn shares for all assigned SLP securities on a monthly basis;  (iii) clarify which mnemonics may be used for SLP trading activity;  and, (iv) revise the non-regulatory penalties associated with the SLP program to align them with the new quoting and volume requirements.  For further details, refer to:   [IM 10-41, 9/30]

     3.  SEC: Audit Reports Included in B/D Filings.    The SEC published interpretive guidance to clarify the application of certain rules and regs, releases, as it pertains to authority granted to the Public Company Accounting Oversight Board (PCAOB) under the Dodd-Frank Reform Act - i.e., to establish auditing, attestation, and related professional practice standards governing the preparation and issuance of audit reports to be included in broker and dealer filings with the Commission.  The SEC notes brokers, dealers, auditors, and investors may be confused with regard to the professional standards auditors should follow for these reports;  and to that end, the Commission is considering a rulemaking project to update the audit and related attestation requirements under the federal securities laws for brokers and dealers. In addition, the PCAOB has not yet revised its rules, which currently refer only to issuers, to require registered public accounting firms to comply with PCAOB standards for audits of non-issuer brokers and dealers. 

As a result, the Commission is providing transitional guidance with respect to its existing rules regarding non-issuer brokers and dealers. Specifically, references in Commission rules and staff guidance and in the federal securities laws to GAAS or to specific standards under GAAS, as they relate to non-issuer brokers or dealers, should continue to be understood to mean auditing standards generally accepted in the U.S., plus any applicable SEC rules.  The Commission intends, however, to revisit this interpretation in connection with its rulemaking project referenced above.  For further details, refer to:  [Interpretive Rel 34-62991, 9/24]