An investment adviser settled SEC charges for breaches of fiduciary duty arising from an affiliated broker's receipt of compensation on advisory client investments.

The DOJ and SEC charged five Russian nationals for their involvement in a multi-year, global scheme that included (i) hacking into the systems of two U.S.-based filing agent companies, (ii) stealing nonpublic information, such as corporate earnings reports, and (iii) trading based on this material, nonpublic information.

The SEC Division of Corporation Finance granted conditional no-action relief to an exchange-traded fund from requirements "prohibiting purchases outside of a tender offer."

FINRA filed for immediate effectiveness a proposed update to the trade reporting fees for broker-dealers that use the FINRA/NYSE Trade Reporting Facility.