A firm settled FINRA charges for supervisory violations related to unsuitable and excessive trading by a former registered representative.

The SEC adopted rule changes to correct errors, update outdated references and conform language across recently amended regulations.

A firm settled FINRA charges for failing to provide documents and information requested during regulatory investigations into its business practices.

Acting Enforcement Director Sanjay Wadhwa touted the broad impact of the SEC's efforts on off-channel communications, whistleblower protection and cooperation credit. He said that these initiatives hold bad actors accountable, deter future violations and promote compliance.

An investment adviser settled SEC charges regarding the extent to which its investments took account of environmental, social and governance factors.