President-elect Donald J. Trump announced that former New York City Mayor Rudolph Giuliani will act as an adviser to the White House on cybersecurity matters.

The SEC requested comments on a FINRA proposal that would extend the expiration date of the application of FINRA rules to security-based swaps.

The SEC Office of Investor Education and Advocacy and the Broker-Dealer Task Force detailed steps for investors to take if they are notified of, or suspect excessive trading or fees.

The New York Court of Appeals, in a decision by Judge Jenny Rivera, upheld a State Supreme Court's ruling that a trade can be deemed executed even if a formal agreement has not been signed, as long as the material terms and conditions are agreed on mutually in conversation or email correspondence.

The SEC charged two sales representatives with obtaining "hefty commissions for themselves" by using a fraudulent "in-and-out trading strategy" leading to significant losses for several customers.