Purshe Kaplan Sterling Investments agreed to pay restitution and additional penalties to settle FINRA charges that the firm had failed to supervise adequately an employee who made fraudulent sales.

Click on the links below to view SEC notices of exchange rule changes and proposals for the week of February 21 to February 24, 2017.

President Trump signed an Executive Order mandating that each regulatory agency (i) establish a Regulatory Reform Task Force, and (ii) designate an official as a Regulatory Reform Officer.

SEC Acting Chair Michael S. Piwowar focused on the "forgotten investor" in remarks delivered at the 2017 "SEC Speaks" Conference.

In a letter to Federal Reserve Board Chair Janet Yellen, Financial Services Committee Chair Jeb Hensarling (R-TX) recommended that the Federal Reserve "should neither propose nor adopt any new rules until the U.S. Senate confirms a Vice Chairman for Supervision."