A commodity pool operator and its principal settled National Futures Association charges for (i) improperly using pool assets to benefit an affiliated company, (ii) commingling funds between separate pools, (iii) failing to provide necessary disclosures and (iv) failing to maintain accurate records.

A firm settled FINRA charges for failing to ensure best execution for certain customer orders in over the counter securities.

A transfer agent settled SEC charges for failing to safeguard client funds from cyber fraud.

The SEC approved Public Company Accounting Oversight Board proposals on (i) general auditor standards, (ii) the use of technology assisted analysis in audit procedures, and (iii) the standard to be used for assessing contributory liability of associated persons.

An investment adviser settled SEC charges for violating the "pay-to-play rule" which prohibits campaign contributions by investment advisers to government officials "who are in a position to influence the hiring of investment advisers to manage government client assets."