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 1 - August 5.

A Georgia trader pled guilty to one count of conspiracy to commit wire fraud. The case involved the buying and selling of stock based on information obtained off of hacked press releases stolen from three newswire services.

IOSCO requested comments on a consultation report reviewing liquidity issues in the secondary corporate bond markets. The study found no reliable evidence that liquidity in these markets deteriorated markedly from historic norms for non-crisis periods.

The SEC approved FINRA's proposed new By-Laws concerning the number of members, term length and ballot process of the FINRA National Adjudicatory Council.

The SEC Office of Investor Education and Advocacy Investor outlined common types of mutual fund classes and factors to consider when selecting a mutual fund class.