The SEC settled charges with a financial services firm for maintaining ineffective trading controls that failed to prevent erroneous orders from being sent to the markets.

The MFA and the Futures Industry Association Principal Traders Group suggested further revisions to an SEC proposal to expand certain order-handling disclosure requirements.

Witnesses testified before the House Financial Services Subcommittee on Capital Markets and Government Sponsored Enterprises on governance issues and reporting and disclosure requirements.

The SEC Division of Corporation Finance granted no-action relief to a multinational insurance company form being considered an "ineligible issuer" under Rule 405 of the Securities Act.

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 19 - September 23.