The House of Representatives passed the Fair Access to Investment Research Act of 2017. The bill is intended to establish a safe harbor that would permit broker-dealers to issue research reports that cover exchange-traded funds.

The CFTC proposed rule amendments that would (i) define the term "senior officer," (ii) clarify the responsibilities of a chief compliance officer 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.

Comptroller of the Currency Thomas J. Curry announced that he will step down as Comptroller on May 5, 2017. In a speech before a FinTech conference, he reaffirmed the OCC's continuing commitment to facilitate innovation.

The SEC and FINRA will hold a National Compliance Outreach Program for Broker-Dealers. The event will focus on cybersecurity, investing by seniors, anti-money laundering and recidivist brokers.

The SEC awarded a whistleblower more than $500,000 for reporting company misconduct that spurred an investigation and led to an SEC enforcement action.