The SEC fined a broker-dealer nearly $3 million for violating custody requirements and related supervisory failures.

The SEC charged a New Jersey-based attorney and a New York-based accountant with securities violations for aiding and abetting a fraudulent scheme to misappropriate funds from a charitable foundation.

The SEC Division of Market Regulation granted no-action relief to two open-end management investment companies related to creation and redemption transactions in shares of exchange-traded managed funds.

The SEC announced SRO rule changes and proposals for the week of December 18 to December 22, 2017.