The CFTC upgraded its market surveillance and fraud detection capabilities using Nasdaq's "industry-leading suite" of technology solutions.

Federal Reserve Governor Lisa D. Cook sued President Donald J. Trump, seeking to void her termination and confirm her continued service on the Federal Reserve Board of Governors.

A broker settled FINRA charges for recommending an unsuitable and speculative options strategy to retired senior customers.

A firm settled FINRA charges for supervisory deficiencies related to its obligations to deliver preliminary IPO prospectuses to institutional customers.

The Consumer Financial Protection Bureau proposed a rule to establish a binding legal standard for the term "conduct that poses risks to consumers." The standard would be used to designate nonbank covered persons for CFPB supervision under the Consumer Financial Protection Act