A broker-dealer agreed to settle charges for failing to report, and inaccurately reporting, OTC options positions to the Large Options Position Reporting system and for related supervisory failures.

The Treasury Department and the Department of Commerce amended the Cuban Assets Control Regulations and the Export Administration Regulations to further restrict travel to Cuba by U.S. persons.

A private fund manager and chief investment officer settled SEC charges for compliance deficiencies that led to inaccurate valuations of client assets.

The SEC launched two initiatives to improve enforcement and investor education resources on behalf of teachers, active military personnel and veterans.

The SEC named Kevin Zerrusen to serve as Senior Adviser for Cybersecurity Policy.