The SEC requested comments on a FINRA proposal that would clarify certain terms when reporting U.S. Treasury securities transactions on the Trade Reporting and Compliance Engine.

U.S. and foreign regulators announced significant settlements involving the Foreign Corrupt Practices Act and other anti-bribery laws.

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 19 – December 23.

The Board of Governors of the Federal Reserve System and the Federal Open Market Committee requested public comment on an interim final rule to amend requirements for processing requests under the Freedom of Information Act.

The SEC announced that a temporary rule governing the timeframe for action on the proposed National Market System Plan Governing the Consolidated Audit Trail expired.