At a meeting scheduled for May 10, 2017, the SEC Advisory Committee on Small and Emerging Companies will focus on regulatory issues related to capital-raising activities.

The Office of the Comptroller of the Currency published revised versions of the "Public Notice and Comments" and "Fiduciary Powers" booklets of the Comptroller's Licensing Manual.

The CFTC proposed amendments that would (i) define the term "senior officer," (ii) clarify the responsibilities of a chief compliance officer ("CCO") employed by a futures commission merchant, swap dealer or major swap participant, and (iii) modify the content and submission requirements of a CCO annual report.

The Chief Compliance Officer of MoneyGram International agreed to settle fraud charges brought by FinCEN and the United States Attorney that included failures to develop and implement adequate anti-money laundering programs as required by the Bank Secrecy Act.

New SRO rule changes and proposals were announced by the SEC for the week of May 1 to May 5, 2017.