A broker-dealer settled FINRA charges for failing to adequately monitor and supervise an employees' outside brokerage accounts.

A chemical manufacturer settled SEC charges for making materially misleading statements to investors and the public regarding the company's debt reduction efforts.

SEC Commissioner Caroline A. Crenshaw defended the SEC's ESG disclosure proposal, calling it consistent with other disclosure requirements proposed by the SEC and responsive to the evolving demands of investors.

The DOJ obtained a permanent injunction suspending the proposed acquisition of Simon and Schuster by Penguin Random House.

An online education technology provider settled FTC charges for "engag[ing] in a number of practices that, taken individually or together, failed to provide reasonable security to prevent unauthorized access to users' personal information."