In testimony before the U.S. House Committee on Financial Services, SEC Chair Jay Clayton outlined priorities for the agency and reviewed recent accomplishments.
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FINRA focused on transaction reporting and data dissemination in a podcast on core elements for firm training plans.
FINRA issued two notices as part of an initiative to conduct retrospective rule reviews on an ongoing basis. FINRA requested comments on the effectiveness and efficiency of its (i) communications with the public rules and (ii) gifts, gratuities and non-cash compensation rules. According to FINRA, the review process will consist of an assessment of the efficacy and efficiency of the rule or rule set, followed by an action phase to determine whether the findings report recommends modification of the rule or rule set. In Regulatory Notice 14-14, FINRA identified the communications with the public