At an upcoming webinar, MSRB will review "key provisions" of amendments to requirements concerning (i) confirmation, clearance, settlement and other uniform practices and (ii) prices and commissions related to disclosure of markups and markdowns.

In a 2017 Regulatory and Examination Priorities Letter, FINRA identified compliance, supervision and risk management as primary areas for review.

President-elect Donald J. Trump will nominate Jay Clayton to lead the SEC.

FINRA notified member firms that the SEC approved a proposal to permit an attorney arbitrator to be eligible for the chairperson roster, as long as that attorney fulfills certain training and arbitration requirements.

FINRA notified member firms that the SEC approved proposed amendments requiring most parties to use the FINRA Office of Dispute Resolution Party Portal to submit documents and view arbitration case information.