The SEC updated the Electronic Data Gathering, Analysis, and Retrieval System Filer Manual and rules relating to the submission of Municipal Advisor Forms.

The CFTC raised the maximum amount permissible for civil monetary penalties assessed for violations of the CEA and CFTC rules, regulations and orders.

The CFTC proposed technical amendments to rules governing registration and review of disciplinary, access denial and other adverse actions.

New SRO rules, rule proposals and NMS plans were announced by the SEC. Click on the links to view SEC notices of exchange rule changes and proposals for the week of January 17 – January 19.

​The Department of the Treasury named Acting Under Secretary Adam Szubin as Acting Secretary of the Treasury.