The SEC, the MSRB and FINRA announced that open registration for the Compliance Outreach Program for Municipal Advisors will be held on November 10, 2016. Registration will be streamed via a live webcast available on the MSRB website.

FINRA proposed to modify the quoting and trading requirements relating to block-size exceptions, and the use of Intermarket Sweep Orders and Trade-at Intermarket Sweep Orders.

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 September 26 - September 30.

The Board of Governors of the Federal Reserve System requested comment on its proposal to enhance risk-based capital requirements on financial holding companies engaged in activities related to physical commodities and merchant banking investments. The request for comment was published in the Federal Register.

The SEC settled charges against a casino-gaming company for allegedly firing an employee with several years of positive performance reviews because he reported to senior management and the SEC that the company's financial statements might be distorted.