In a 7-2 decision, the Supreme Court ruled that the CFPB's statutory funding mechanism satisfied the requirements of the Appropriations Clause of the Constitution.

In a new report, SEC staff provided statistics on the investment adviser industry based on aggregated data from registration Form ADVs.

A firm settled FINRA charges for supervisory failures concerning excessive trading and for violations of FINRA telemarketing rules.

A registered investment adviser and its principal settled SEC charges for failing to disclose conflicts of interest and for making misleading statements to clients that invested in films for which the adviser's principal served as a producer.

Karen Braine, Vice President of the Insider Trading Detection Program, described how her team employs sophisticated technology and analytics to monitor trading activities in the U.S. securities markets for suspicious patterns.