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 9 – January 13.

By a vote of 243-184, the House of Representatives approved the SEC Regulatory Accountability Act. The Act would require the SEC to conduct cost-benefit analyses for regulations and orders.

Broker ITG Inc. agreed to pay $24.4 million to settle SEC charges alleging that it had prompted the issuance of American Depository Receipts without first obtaining the underlying foreign shares.

Citadel Securities LLC, a broker-dealer, agreed to pay $22.6 million to settle SEC charges alleging that it misled other brokerage firms about trade pricing through retail customer orders.

The Bank of New York Mellon Corporation agreed to pay a $6.6 million penalty to settle SEC allegations of reporting, recordkeeping and accounting failures based on a miscalculation of risk-based capital ratios and risk-weighted assets.