An investment adviser settled SEC charges for using non-disclosure agreements and a settlement agreement that impeded individuals from reporting potential securities law violations to the SEC.

A publicly traded online sports betting and gaming company settled SEC charges for selectively disclosing material, non-public information about its second-quarter earnings in advance of the company's official earnings release.

SEC Commissioners, testifying at a House Financial Services Committee oversight hearing, responded to legislators' questions on the agency's enforcement strategy and its regulatory approach toward digital assets, climate risk disclosures and cybersecurity rules, among others.

The NFA notified its members that the new requirements on Member Questionnaires will become effective on October 15, 2024.

In testimony before the House Financial Services Subcommittee on Financial Institutions, witnesses asserted that the Basel III Endgame proposal threatens the competitiveness of US banks and risks hampering economic growth.