The SEC charged that an audit firm failed to maintain independence from clients while engaging in audits, exams and reviews.

A consumer goods company and its former CEO settled charges with the SEC for making misleading statements to investors by using non-GAAP measures on "core growth" and "core sales" in earnings reports.

The SEC instituted proceedings to determine whether to approve a FINRA proposal that would change margin requirements for certain types of "protected" index options.

The SEC proposed a "tailored form" for registering the offerings of registered index-linked annuities.

Five broker-dealers, three dually registered broker-dealers and investment advisers, and two affiliated investment advisers settled charges with the SEC and CFTC for recordkeeping violations after failing to preserve electronic business-communications made using their personal devices.