The SEC asked the U.S. District Court for the District of Columbia to order a law firm to comply with a subpoena to provide information pertaining to an ongoing investigation following a cyber attack on the law firm.

The SEC appointed Erik Gerding to be the next Director of the Division of Corporation Finance.

SIFMA urged the SEC to disapprove a joint SRO proposal to establish a revised funding model for the Consolidated Audit Trail.

A broker-dealer settled FINRA charges for failing to implement a supervisory system reasonably designed to monitor the suitability of recommendations in complex, non-traditional exchange-traded products.

A swap dealer settled NFA charges for disclosure, risk management, recordkeeping and supervision violations relating to the firm's value-at-risk and initial margin calculations.