The MSRB requested applications from qualified individuals in order to fill five seats on its Board of Directors. The term of each position will begin on October 1, 2017.

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 2 - January 6.

The MSRB 2016 Annual Report detailed regulatory developments.

The Office of the Comptroller of the Currency ("OCC") examined risks facing national banks and federal savings associations. In its Semiannual Risk Perspective for Fall 2016, the OCC concluded that high compliance risk continues for these institutions.

The SEC awarded more than $5.5 million to a whistleblower who helped the SEC "uncover an ongoing scheme" by providing "critical information."