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 October 17 - October 21.

SEC Commissioner Michael S. Piwowar asserted that "high-quality economic analysis is an essential part of regulatory processes" for the Public Company Accounting Oversight Board."

The SEC Division of Corporation Finance granted no-action relief to a managed exchange-traded fund in connection with the creation and redemption of units.

Governor Daniel K. Tarullo of the Board of Governors of the Federal Reserve System described a post-financial crisis "shift of perspective" from banking regulation to financial regulation.

The SEC Office of Investor Education and Advocacy provided a list of risks and "red flags" to consider before investing in a microcap stock.