FINRA is adding a new "Problem Code," amending various reporting requirements and revising forms to address the June 9, 2017 implementation of certain aspects of the DOL Fiduciary Rule.

New SRO rule changes and proposals were announced by the SEC for the week of May 29 to June 2, 2017.

The MSRB is soliciting comments on draft amendments to its requirements for obtaining CUSIP numbers.

SEC Chair Jay Clayton solicited comments on "standards of conduct for investment advisers and broker-dealers."

The CFTC permanently banned a former trader from trading commodity interests for engaging in "spoofing" and other manipulative trading practices.