A company settled charges that it offered complex derivatives products to retail investors illegally, through mobile phone games described as "fantasy sports for stocks."

The SEC Office of Investor Education and Advocacy issued an Investor Bulletin on "microcap stock basics." The Investor Bulletin focused on how to adequately research microcap companies.

The FDIC adopted a final rule concerning the regulatory capital and liquidity treatment of certain financial contracts. The final rule was published in the Federal Register.

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 10 - October 14.

SEC Enforcement Director Andrew J. Ceresney described specialized enforcement activities in the public finance market.