Click on the links below to view SEC notices of exchange rule changes and proposals from February 6 to February 10, 2017.

U.S. District Court for the Northern District of Texas Dallas Division Chief Judge Barbara M.G. Lynn denied a motion for summary judgment by the Chamber of Commerce, et. al. to challenge and vacate the heightened fiduciary standards mandated by the DOL fiduciary rule.

The CFTC Division of Swap Dealer and Intermediary Oversight granted no-action relief to four separate CPOs from certain registration requirements.

FINRA notified member firms that, pursuant to an updated SEC Division of Trading and Markets no-action letter, broker-dealers and OTC derivative dealers may file annual and supplemental reports with the agency electronically in lieu of submitting the reports in paper form.

Board of Governors of the Federal Reserve System Governor Daniel K. Tarullo submitted his resignation letter to President Trump, effective on or around April 5, 2017.