The DOJ charged several Russian and Italian nationals and a U.S. citizen for attempting to evade U.S. trade sanctions.

A broker-dealer settled FINRA charges for failing to implement a supervisory system in connection with the sale to retail investors of leveraged and inverse-indexed exchange-traded products.

CFTC Chair Heath P. Tarbert described five strategic goals for the agency and outlined related action plans.

Proposed SEC amendments to improve the accuracy and transparency of information provided by proxy advisory firms were published in the Federal Register.

Proposed SEC amendments to the procedural requirements and resubmission thresholds of the shareholder proposal rule were published in the Federal Register.