The SEC requested comments on a proposal to amend proxy requirements to require the use of universal proxy cards for intrastate offerings and adopt changes concerning exemptions to facilitate intrastate and regional securities offerings.

A non-U.S. firm agreed to pay $1.7 million to settle SEC charges of misleading investors into trading binary securities options over the internet.

An Office of Financial Research working paper examined how risk-taking in the repurchase agreement market changed following the introduction of the Basel III supplementary leverage ratio regulation.

The MSRB identified four areas that could adversely affect retail investors: (i) disclosure practices; (ii) price fairness and transparency; (iii) types of ownership; and (iv) senior investor protection.

New SRO rules, rule proposals and NMS plans were announced by the SEC. Click on the links below to view SEC notices of exchange rule changes and proposals for the week of November 7 – November 11.