Click on the links in the article to view SEC notices of exchange rule changes and proposals from February 13 to February 17, 2017.

The MSRB requested comments on new advertising requirements applicable to municipal broker-dealers and municipal advisors.

Angel Oak Capital Partners, LLC agreed to pay $3.6 million to settle SEC charges alleging that the company violated requirements of the Exchange Act by operating as an unregistered broker-dealer.

The SEC and the North American Securities Administrators Association entered into a memorandum of understanding to ensure that recently adopted exemptions to intrastate crowdfunding and regional offering requirements are "facilitating access to capital for small business."

The NFA appointed Carol Wooding Vice President and General Secretary.