The SEC requested comments on a FINRA proposal that would amend certain rules to prevent the financial exploitation of senior citizens and other vulnerable adults.

The Executive Committee of the NFA increased the required minimum security deposit for Forex Dealer Member transactions involving the British pound to 5% of the notional value of transactions.

It's Election Day tomorrow — what to do? what to do? what to do?

A commodity pool operator and commodity trading advisor paid a $60,000 fine to settle NFA Business Conduct Committee charges that it had committed failures with offshore pool funds.

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 1 – November 4.