The New York State Supreme Court dismissed state claims against ExxonMobil Corporation for misleading investors on potential costs related to climate change risk.

A broker-dealer and a registered representative settled FINRA charges for failing to establish and enforce procedures to record and review phone calls between the firm and existing or potential customers.

In testimony before the Senate Committee on Banking, Housing and Urban Affairs, SEC Chair Jay Clayton described progress on the agency's FY 2019 initiatives.

A former U.S. Representative for New York's 27th Congressional District, his son and a third individual settled SEC charges for insider trading.

A firm settled FINRA charges for failure to comply with short interest reporting requirements and related supervisory failures concerning certain foreign-listed securities.

A broker-dealer settled FINRA charges for late and inaccurate reporting and recordkeeping violations.

The SEC proposal to amend the advertising and solicitation rules under the Investment Advisers Act of 1940 was published in the Federal Register

Experts testified before the House Financial Services Committee on the impact of artificial intelligence on investing, the financial services workforce, and compliance and risk management.

In a statement issued in connection with the 2019 AICPA Conference, SEC Chief Accountant Sagar Teotia described key priorities for his Office.

The Financial Stability Oversight Council approved interpretive guidance establishing an "activities-based approach" to address systemic risk.