An accounting firm settled SEC charges of using stolen information to improve the outcome of the firm's Public Company Accounting Oversight Board annual inspection.

A former general securities representative settled FINRA charges for failing to notify his company that he created an external cryptocurrency-mining business.

ISDA identified key differences among jurisdictional implementations of margin requirements for non-cleared derivatives that have led to market fragmentation.

SEC Commissioner Hester Peirce urged the agency to conduct a more in-depth analysis of the features and risks of exchange-traded funds before enacting regulations.

A subsidiary of a Chinese multinational banking company agreed to settle SEC charges of improperly handling "pre-released" American Depositary Receipts.