A firm settled FINRA charges for failing to promptly return investor funds following a material change in a contingency private placement offering.

SEC Commissioners Hester M. Peirce and Mark T. Uyeda criticized the Commission's decision to heavily redact information in final whistleblower award decisions.

An advisory firm settled SEC charges for failing to accurately value mortgage-backed securities and for engaging in improper cross trading practices that favored certain clients over others.

The SEC approved an MSRB Rule to shorten the time allowed for post-trade reporting in Municipal Securities.

Treasury Under Secretary for Domestic Finance Nellie Liang outlined the Treasury Department's ongoing efforts to bolster liquidity in the US Treasury market.