The North American Securities Administrators Association issued a guide to assist broker-dealer and investment adviser firms to develop procedures for addressing instances of "diminished capacity" and senior financial exploitation.

The SEC requested comments on a proposal that would require registrants to include hyperlinks to exhibits in their filings, and to submit all filings in Hypertext Markup Language format. The request for comments was published in the Federal Register.

The SEC settled charges against two investment advisory firms in conjunction with compliance failures within their wrap fee programs.

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 5 – September 9.

Energy trade groups urged Congress to take immediate action to extend expiring renewable energy tax incentives for their respective industries.