The SEC named Robert Stebbins as General Counsel, Jaime Kilma as Chief Counsel, and Sean Memon as Deputy Chief of Staff.

FINRA requested comments on rules concerning the outside business and securities activities of member firm employees.

The National Futures Association expressed its willingness to review swap dealers' internal models for calculating market and credit risk exposures in order to determine whether the models are in compliance with the proposed regulations.

The SEC charged two former Nomura Securities International traders with securities fraud.

New SRO rule changes and proposals were announced by the SEC for the week of May 8 to May 12, 2017.