The SEC Office of Compliance Inspections and Examinations will focus on (i) retail investors, (ii) senior investors and (iii) market-wide risks.

The NFA issued a notice stating that members who take "reasonable steps" to determine the registration and membership status of previously exempt persons will not be in violation of NFA requirements.

President-elect Donald J. Trump announced that former New York City Mayor Rudolph Giuliani will act as an adviser to the White House on cybersecurity matters.

The SEC requested comments on a FINRA proposal that would extend the expiration date of the application of FINRA rules to security-based swaps.

The SEC Office of Investor Education and Advocacy and the Broker-Dealer Task Force detailed steps for investors to take if they are notified of, or suspect excessive trading or fees.