SEC Commissioner Robert J. Jackson Jr. expressed opposition to the SEC potentially approving initial public offerings of companies that have adopted provisions requiring mandatory arbitration of shareholder disputes.
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FINRA is seeking comments on a proposed rule change concerning the outside business activities of registered persons.
CFTC Commissioner Brian Quintenz expressed concern that post-crisis reforms were not appropriately tailored to address market-specific risks, and that regulators are disincentivizing activity that is necessary for healthy, efficient markets.
SEC interpretive guidance intended to help public companies prepare disclosure statements about cybersecurity risks and incidents was published in the Federal Register.
The Office of the Comptroller of the Currency made technical changes to the "Background Investigations" booklet of the Comptroller's Licensing Manual.