FINRA notified member firms that the SEC approved FINRA rule amendments requiring the disclosure of markups on certain transactions in corporate debt or agency securities with retail customers.

The U.S. Court of Appeals for the District of Columbia vacated an original October 11, 2016 Opinion that found the structure of the Consumer Financial Protection Bureau to be unconstitutional.

R. Alexander Acosta replaces Andrew Puzder as President Trump's nominee for Secretary of Labor.

Morgan Stanley Smith Barney, LLC agreed to pay an $8 million penalty to settle SEC charges alleging that the firm, which was dually registered as an investment advisor and broker-dealer, had failed to implement written compliance policies and procedures.

The SEC Investor Advisory Committee will hold a public meeting on March 9, 2017.