A broker-dealer settled Nasdaq claims that it failed to properly monitor omnibus accounts for foreign broker-dealers to prevent market manipulation.

A broker-dealer settled Nasdaq claims that a coding error allowed a large erroneous order to reach the market and briefly crash a stock's price.

SEC Chair Paul Atkins said the agency was returning to first principles through the three-part plan he called the "ACT strategy": Advance, Clarify, and Transform.

A broker-dealer settled SEC claims that it sent the agency incomplete and inaccurate trading-data reports (electronic blue sheets) for years.

The SEC asked for public comment on exchange-traded funds that invest in innovative asset classes or use novel strategies.