The SEC approved changes to the MSRB rule on customer account transfers. The rule changes will become effective on January 29, 2018.

In a Massachusetts federal court, the owner of a cannabis consultation practice was indicted for insider trading based on charges that he traded on nonpublic information "misappropriated" from his wife.

The Democratic staff of the House Financial Services Committee, citing Republican efforts to repeal the Consumer Financial Protection Bureau arbitration rule, criticized efforts to "functionally terminate" the agency.

House Financial Services Committee ranking member Representative Maxine Waters (D-CA) introduced a bill that would alter the SEC process for waiving automatic disqualifications of "bad actors."

The CFTC Division of Market Oversight recommended that the North American Derivatives Exchange complete the development of a surveillance program to detect spoofing violations.