A broker-dealer settled FINRA charges for engaging in "spoofing" and "cross spoofing" in US Treasury securities markets.

A broker-dealer settled FINRA charges for pricing violations related to corporate bond transactions that resulted in excessive charges to customers.

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.