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.

A U.S.-based global chemicals company settled SEC charges for bribery and recordkeeping and internal accounting controls failures in violation of the Foreign Corrupt Practices Act.

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