The SEC brought administrative proceedings against a brokerage firm, and civil proceedings against several firm customers, for a scheme involving $24.8 million in "penny stock" transactions.

Click on the links to view SEC notices of exchange rule changes and proposals for the week of January 23 – January 27.

CFTC Acting Chair J. Christopher Giancarlo appointed Amir Zaidi to lead the Division of Market Oversight, Vincent McGonagle to be Acting Director for the Division of Enforcement, and John Lawton to be Acting Director of the Enforcement Division.

The CFTC Division of Swap Dealer and Intermediary Oversight granted no-action relief, under certain conditions, to the FIA and member futures commission merchants ("FCMs") in order to permit limited withdrawals of FCM excess residual interest.

CFTC Acting Chair J. Christopher Giancarlo announced that current CFTC Deputy General Counsel for Litigation and Adjudication Robert A. Schwartz will replace Jonathan L. Marcus as Acting General Counsel.