A commodity pool operator and commodity trading advisor paid a $60,000 fine to settle NFA Business Conduct Committee charges that it had committed failures with offshore pool funds.

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 1 – November 4.

The SEC extended the date by which the SEC is required to act on the proposed National Market System Plan Governing the Consolidated Audit Trail.

The Investment Company Institute is hosting a conference on issues and emerging trends that affect closed-end funds. The event takes place today, at the Convene Conference Center in New York City.

The SEC announced the agenda and panelists for a public forum on fintech innovation in the financial services industry. The forum will be held on November 14, 2016.