New SRO rules, rule proposals and NMS plans were announced by the SEC. Click on the links below to view SEC notices of exchange rule changes and proposals for the week of November 21 – November 25.

The SEC adopted a national market system plan for the consolidated audit trail, a comprehensive database for all trading activity in the U.S. equity and options markets.

FINRA provided a short guide to using money-market deposit accounts.

SEC Investor Advocate Rick Fleming described continuing progress on the SEC Disclosure Effectiveness Initiative, an effort intended to review and modernize public company reporting requirements in Regulation S-K and Regulation S-X.

The CFTC released its enforcement results for fiscal year 2016. The CFTC reported that these actions addressed a "sweeping range of misconduct and market harm."