The SEC settled charges against two investment advisory firms in conjunction with compliance failures within their wrap fee programs.

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 5 – September 9.

Energy trade groups urged Congress to take immediate action to extend expiring renewable energy tax incentives for their respective industries.

The House of Representatives voted to approve the Accelerating Access to Capital Act of 2015. The Act permits small companies to utilize a form for shelf registration to reduce legal, accounting and investment banking fees.

The Consumer Financial Protection Bureau fined a bank $100 million for "the widespread illegal practice of secretly opening unauthorized deposit and credit card accounts."