The former CEO of a multinational fast-food chain settled SEC charges for failing to disclose materially relevant information during an internal investigation that resulted in his termination.

A broker-dealer settled FINRA charges for (i) deficient filing of Large Options Position Reporting system ("LOPR") and (ii) establishing certain options positions that exceeded OTC position limits.

A broker-dealer settled FINRA charges for failing to notify investors of two separate extensions of the offering termination date of a contingency private placement offering.

A former portfolio manager at an investment advising firm settled SEC charges for failing to disclose a conflict of interest.

In an annual notice, the MSRB established the criteria for designating participants for mandatory business continuity and disaster recovery testing consistent with Regulation Systems Compliance and Integrity (Regulation SCI).