In Axon Enterprise v. Federal Trade Commission, the U.S. Court of Appeals for the Ninth Circuit affirmed the dismissal of an action by Axon Enterprises, Inc., arguing that the FTC's administrative enforcement process violated Axon's constitutional rights.

A firm acting as the placement agent for a contingent offering settled FINRA charges for depositing investor funds into a bank account that it established and controlled instead of into an escrow account.

The SEC named John Coates as Acting Director of the SEC Division of Corporation Finance.

The CFTC charged a swaps trader with manipulating the prices of interest rate swap spreads and attempting to cover up the misconduct.

Acting Chair Allison Herren Lee released her executive staff roster.