The SEC Division of Investment Management granted no-action relief in order to permit certain investment advisory entities created by a merger to continue to rely on pre-merger exemptive orders.

FINRA announced that it is publishing monthly information on block-sized trades occurring on alternative trading systems ("ATS").

The SEC, the MSRB and FINRA announced that open registration for the Compliance Outreach Program for Municipal Advisors will be held on November 10, 2016. Registration will be streamed via a live webcast available on the MSRB website.

FINRA proposed to modify the quoting and trading requirements relating to block-size exceptions, and the use of Intermarket Sweep Orders and Trade-at Intermarket Sweep Orders.

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 September 26 - September 30.