CFTC Commissioner Sharon Y. Bowen explored ways to increase diversity in the CFTC and the financial services industry.

FINRA proposed delaying the date by which the Pre-Pilot and Pilot Appendix B of the Regulation NMS Plan to Implement a Tick Size Pilot Program will be made publicly available on the FINRA website. The date of availability would be moved from February 28, 2017 to April 28, 2017.

Purshe Kaplan Sterling Investments agreed to pay restitution and additional penalties to settle FINRA charges that the firm had failed to supervise adequately an employee who made fraudulent sales.

Click on the links below to view SEC notices of exchange rule changes and proposals for the week of February 21 to February 24, 2017.

President Trump signed an Executive Order mandating that each regulatory agency (i) establish a Regulatory Reform Task Force, and (ii) designate an official as a Regulatory Reform Officer.