SEC Enforcement Director Andrew Ceresney will leave the SEC by the end of this year.

NASAA requested comments on a proposed model statute and model rule that would permit "testing the waters" in Tier 1 offerings conducted under Regulation A of the Securities Act.

The CFTC Division of Market Oversight released the results of a rule enforcement review of ICE Futures U.S. and found that, with the exception of one deficiency, ICE has an adequate trade practice surveillance program.

The Supreme Court found that "tippees" who trade on material non-public information may be found criminally liable even when there is no evidence of a pecuniary or tangible benefit to the insider who delivered the tip.

United Airlines settled charges with the SEC for failing to follow its own compliance policies and procedures designed to prevent corrupt practices.