The SEC will hold its annual Government-Business Forum on Small Business Capital Formation. The Forum will examine how capital formation options are working for small businesses in the wake of the JOBS Act.

Risk Desk editor John Sodergreen examines the "strict liability" rules of the Chicago Mercantile Exchange.

The Office of the Comptroller of the Currency will establish an "Office of Innovation."

FINRA notified member firms that amended rules governing communications with the public will become effective on January 9, 2017.

The SEC adopted changes to the existing intrastate offering framework, and proposed amendments to proxy requirements that would require the use of universal proxy cards.