The SEC charged an entity and several associated individuals with misleading 100 investors - most of whom were seniors - resulting in $4.9 million in losses.

The SEC proposed amending advertising and solicitation rules under the Investment Advisers Act.

A broker-dealer settled FINRA charges of failure to "establish, maintain and enforce a sufficient supervisory system ... reasonably designed to achieve compliance with applicable securities laws and regulations."

The MSRB updated its guidance on gifts and gratuities limitations for broker-dealers, municipal securities dealers and municipal advisors.

The SEC adopted a rulemaking package designed to enhance retail investors' protections when dealing with broker-dealers and investment advisers.

The SEC proposed several amendments to its rules governing security-based swaps entered into by non-U.S. firms.

A broker-dealer agreed to settle FINRA charges for neglecting to identify and apply available sales charge waivers to eligible retirement accounts and charitable organizations.

North American Securities Administrators Association President Michael Pieciak offered recommendations on how the SEC can improve Regulation Best Interest to benefit investors.

A broker-dealer agreed to settle FINRA charges for inadequate trading supervision, providing inaccurate statements, paying unregistered individuals and failing to establish an adequate Customer Identification Program.

The U.S. Court of Appeals for the Second Circuit affirmed a lower court's dismissal of a shareholder's lawsuit, which alleged that a health insurer and its executives misled investors regarding compliance with Medicare regulations.