The SEC Office of Investor Education and Advocacy offered ten tips for investors in 2017.

The SEC requested comments on a proposal that would amend various FINRA rules to conform to the SEC-proposed amendment to shorten the standard settlement cycle for most broker-dealer transactions.

The SEC requested comments on a FINRA proposal that would clarify certain terms when reporting U.S. Treasury securities transactions on the Trade Reporting and Compliance Engine.

U.S. and foreign regulators announced significant settlements involving the Foreign Corrupt Practices Act and other anti-bribery laws.

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 19 – December 23.