1. SEC Fees Rising.
2. FinCEN Transfers Regs from 31 CFR Part 103 to CFR Chap. X
3. Nasdaq Trading Halt Alerts via RSS.
4. CBOE: TPH Professional Orders.   

    1.  SEC Fees Rising.   Section 31 fees applicable to securities transactions on the exchanges and in the OTC markets will increase from their current rate of $16.90 per million dollars to a new rate of $19.20 per million dollars - a 15.4% jump.   The assessment on security futures transactions under Section 31(d) will remain unchanged at $0.0042 for each round turn transaction.  Changes take effect 30 days after approval of the 2011 fiscal year budget.  [SEC PR 10-236, 12/3]

    2.  FinCEN Transfers Regs from 31 CFR Part 103 to CFR Chap. X.   On 3/1/11, FinCEN will transfer its regulations from 31 CFR Part 103 to 31 CFR Chapter X as part of an ongoing effort to increase the efficiency and effectiveness of its regulatory oversight.  31 CFR Chapter X is organized by generally applicable regulations and by industry-specific regulations.  There have been no substantive changes made to the underlying regulations as a result of this transfer and reorganization.  For further details, click onto:   [FinCEN Release, 11/23]

    3.  Nasdaq Trading Halt Alerts via RSS.   Nasdaq OMX will provide trade halt information via an RSS feed in addition to its existing news alert dissemination system.  The RSS dissemination option is free, but you have to sign up to access the feed.  RSS, or "Really Simple Syndication," is a popular way to pull in information from across the web.  RSS also allows websites to easily push content directly to subscribers for instant updates to the latest information from web servers.  For further details, refer to:  [Equity Trader Alert 10-76, 11/29]

    4.  CBOE: TPH Professional Orders.   Under Rule 1.1(ggg), “Professional” means any person or entity that: (i) is not a B/D;  and, (ii) places more than 390 orders in listed options per day on average during a calendar month for its own beneficial account(s).  Trading Permit Holders are reminded that the rule requires the aggregation of all beneficial accounts of a person or entity when calculating the number of orders placed.  A person or entity cannot avoid designation as a Professional by spreading their activity over multiple accounts. TPH's also should take note that the rule doesn't permit the disaggregation of a person’s or entity’s account(s) when calculating the number of orders placed.  [Reg'y Circ. 10-126, 12/1]