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Company's 'speed bump' and other tools it says are designed to protect customers are creating speed bumps in bid to be a stock exchange.
Failure of Third Avenue high-yield bond fund brings mutual funds, ETFs, and hedge funds under close watch in 2016.
Finra plans to start rating stock brokers that have an excessive number of unfulfilled orders; bond traders may be next.
Funds would be required to hold a minimum amount of cash and would remove current incentive to quickly exit a fund that is falling in value.
Companies will have to report the ratio beginning in 2017.
SEC proposal would require companies that restate earnings due to accounting errors to reclaim a portion of bonuses to executives including chief accounting officers and VPs of finance.