Two investment adviser subsidiaries settled SEC charges for failing to disclose conflicts of interest and making misleading disclosures to the funds they advised.

The Chicago Mercantile Exchange Group issued fines against an energy company and a fund management company for trade practice violations.

Two broker-dealers settled separate SEC charges for submitting deficient electronic blue sheet data.

FINRA adopted amendments to Rules 6110 and 6610 that will expand the summary firm data FINRA publishes on its website regarding OTC equity trading.

Dorothy D. DeWitt will serve as Director of the Division of Market Oversight.