SEC leadership submitted testimony to the House Financial Services Committee on initiatives undertaken during the fiscal year.

CME issued fines and suspensions against two brokers and a futures brokerage firm for separate trade practice violations.

An individual settled SEC charges for conspiring to manipulate the price of certain issuer securities through false regulatory filings.

Cadwalader attorneys analyzed the U.S. District Court for the Southern District of New York order vacating the guilty plea of former investment portfolio analyst Richard Lee.

A subcommittee of the House Financial Services Committee held a hearing to consider six legislative proposals intended to "hold public company executives accountable to both investors and the general public."

A former employee of a biotechnology firm agreed to settle SEC charges for insider trading on confidential information.

The SEC charged a former senior attorney at Apple with insider trading.

House Financial Services Committee Chair Maxine Waters introduced a bill to require the SEC to conduct a study on the operation of Rule 10b5-1, which allows insiders of publicly traded corporations to set up a trading plan.

The SEC charged nine individuals for (i) hacking into the SEC's online EDGAR system to acquire material nonpublic documents and (ii) trading on that information.

The SEC charged an IT contractor and two of his family members with insider trading.