FINRA's Office of Financial Innovation requested comment on the regulatory implications of cloud computing, a technology increasingly adopted by broker-dealers for the purposes of scaling operations, business continuity and launching products.

The SEC charged the head of business development at a biopharmaceutical company with insider trading for using confidential information to trade in securities ahead of the company's announcement of an acquisition.

A broker-dealer settled FINRA charges for supervisory failures in connection with its EB-5 Immigrant Investor Program business operations.

A London-based educational services public company settled SEC charges for misleading investors about a major data privacy and confidentiality breach in 2018.