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 October 10 - October 14.

SEC Enforcement Director Andrew J. Ceresney described specialized enforcement activities in the public finance market.

University of Houston Finance Professor Craig Pirrong expressed skepticism that blockchain technology will "disintermediate" central clearing parties.

Senator Elizabeth Warren urged President Obama to "immediately designate another SEC Commissioner as Chair of the agency."

A hedge fund advisory firm and a senior research analyst settled an SEC charge that they failed to detect insider trading conducted by one of their employees.