A global technology company settled SEC charges for engaging in bribery schemes of Indian foreign officials to win government contracts. The SEC charged the company with violations of the books and records and internal accounting controls provisions of the Foreign Corrupt Practices Act.

The SEC charged a cryptocurrency trading firm for failing to register as a securities dealer.

The SEC awarded three joint claimants $12 million for providing information and assistance in an SEC investigation and enforcement action.

The SEC charged a microcap company and related executives with orchestrating a pump-and-dump scheme, falsely promoting the company and its valuation, filing misleading statements and defrauding investors "out of approximately $8 million while generating millions of dollars in ill-gotten proceeds from sales."

FINRA offered investors guidance on evaluating personal risk tolerance, and recommending they align their financial goals with appropriate levels of risk.