In a special issue of the Federal Reserve Bank of New York's Economic Policy Review, economists considered culture, governance and behavioral risk management in the financial services industry.

The SEC Division of Investor Education and Advocacy alerted investors to various insurance scams that may arise from recent flooding in and around Louisiana.

FINRA proposed extending the effective date of a rule change that would clarify the operation of the Regulation NMS Plan to Address Extraordinary Volatility following a trading pause or regulatory halt in an NMS security.

New SRO rules, rule proposals and NMS plans were announced by the SEC. Click on the links below to view the SEC Notices of exchange rule changes and proposals for the week of August 15 - August 19.

FINRA announced that it will retire the web-based system now used to submit short interest positions and replace it with a new interface accessible via the Firm Gateway.