The SEC fined a technology company $180,000 for violating whistleblower protection rules by entering into severance agreements that limited an employee's ability to share information with the SEC.

The Board of Governors of the Federal Reserve System adopted a final rule to implement public disclosure requirements for the liquidity coverage ratio rule.

The NFA notified member firms that a recently approved amendment to require commodity pool operators and commodity trading advisors to report two financial ratios on quarterly Forms PQR and PR will become effective on June 30, 2017.

In a white paper prepared for the SEC Division of Economic and Risk Analysis, economist Joshua White analyzed investment outcomes in connection with over-the-counter stocks.

The CEO of a Utah-based broker-dealer and two associated registered persons settled charges with the SEC for violating market structure rules.