A Connecticut-based investment adviser agreed to pay more than $575,000 to settle SEC charges alleging that he engaged in fraudulent activities.

The SEC Division of Corporation Finance authorized Canadian Aequitas NEO Exchange Inc. as a "designated offshore securities market," subject to certain conditions, as that term is used in Regulation S under the Securities Act.

In a memorandum to the American people, Secretary of Labor Thomas E. Perez highlighted DOL achievements concerning the minimum wage, equal pay, enforcement and the conflict of interest rule.

The MSRB released a new Issue Calendar on its Electronic Municipal Market Access website. The calendar lists (i) municipal bonds scheduled to be sold to investors, and (ii) the pricing of issues that recently have been sold.

The Consumer Financial Protection Bureau appointed a new senior leadership team filling positions for: Chief of Staff, Chief Information Officer, Chief Financial Officer, Assistant Director of Consumer Lending for Reporting and Collections Markets and Assistant Director for the Office for Servicemember Affairs.