A bank settled DOJ and SEC charges for Foreign Corrupt Practices Act violations in connection with its use of third-party intermediaries, business development consultants and finders.

A biopharmaceutical company settled SEC charges for Foreign Corrupt Practices Act bribery and books and records violations.

A former executive of a brokerage firm settled SEC charges for illicitly securing business deals with a Malaysian state-owned and controlled investment fund.

The SEC Office of Investor Education and Advocacy highlighted the risks associated with indexed annuities.

The SEC is seeking comments on a proposed new rule that would establish a pilot program to monitor transaction fees and rebates in National Market System stocks.