The NFA updated guidance on foreign exchange transactions.

FINRA outlined how a firm should review, reconcile and respond to final statements in the E-Bill system.

FINRA notified member firms that the SEC approved a proposal to amend the Codes of Arbitration Procedures for Customer and Industry Disputes. The amendments empower arbitrators to act on motions to dismiss a party or claim prior to the conclusion of a party's case, subject to certain conditions.

The U.S. DOJ and the SEC announced criminal and civil Foreign Corrupt Practices Act-related settlements with a Kentucky-based manufacturer and distributor of copper, aluminum, and fiber-optic cable and wire.

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 December 26 – December 30.