The MSRB identified four areas that could adversely affect retail investors: (i) disclosure practices; (ii) price fairness and transparency; (iii) types of ownership; and (iv) senior investor protection.

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 7 – November 11.

FINRA named JPMorgan Chase & Co. Vice Chair Stephen M. Cutler to its Board of Governors.

The MSRB announced new members of the 2017 Investor Advisory Group. Group members advise the MSRB Board of Directors on municipal market practices, transparency and investor protection issues.

The CFTC issued an agenda for the upcoming Market Risk Advisory Committee public meeting. The CFTC will focus on recommendations concerning central counterparties in the event of a default by a clearing member.