The U.S. DOJ and the SEC announced criminal and civil Foreign Corrupt Practices Act-related settlements with a Kentucky-based manufacturer and distributor of copper, aluminum, and fiber-optic cable and wire.

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 December 26 – December 30.

The Board of Governors of the Federal Reserve System staff members and a Cornell University finance professor examined the impact of the Volcker Rule on corporate bond illiquidity and dealer behavior during times of market stress.

The NFA notified member firms of an opening on its Board of Directors from the CPO/CTA category. The election will be held at the Annual Meeting on February 7, 2017.

The CFTC requested comments on the reproposed position limits rules, which would place limits on speculative futures and swaps positions.