The SEC requested comments on a FINRA proposal that would modify certain questions in the Private Placement Filer Form.

New SRO rule changes and proposals were announced by the SEC for the week of March 27 to March 31, 2017.

The SEC Equity Market Structure Advisory Committee ("EMSAC") will consider subcommittee updates on the Regulation NMS "Order Protection Rule" and on SRO rule-based limitations of liability.

IOSCO approved a new memorandum of understanding that provides for greater consultation and cooperation among members and enhanced cross-border standards for information exchange.

A Colorado-based environmental solutions company and its former chief financial officer settled SEC charges for, among other allegations, violating books and records requirements.