The CFTC proposed technical amendments to rules governing registration and review of disciplinary, access denial and other adverse actions.

New SRO rules, rule proposals and NMS plans were announced by the SEC. Click on the links to view SEC notices of exchange rule changes and proposals for the week of January 17 – January 19.

​The Department of the Treasury named Acting Under Secretary Adam Szubin as Acting Secretary of the Treasury.

The SEC established a comprehensive arrangement with the Hong Kong Securities and Futures Commission as part of the long-term strategy to enhance the oversight of regulated entities with cross-border activities.

CFTC Commissioner J. Christopher Giancarlo was designated Acting Chair of the CFTC. Commissioner Giancarlo succeeded Timothy Massad on January 20, 2017.