The SEC charged a senior associate at a registered investment advisory firm for trading on material nonpublic information.

The SEC extended its deadline to review a Nasdaq Stock Market LLC proposal to delist a security previously suspended from trading.

The SEC charged a day trader for manipulating the prices of hundreds of securities through a fraudulent trading scheme.

The California Privacy Protection Agency, a state agency established to implement and enforce California privacy laws, requested preliminary comment on (i) the implementation of rules governing consumer privacy notices; and (ii) the collection, use, disclosure, or retention of job applicant or employee personal information.

A firm settled FINRA charges for executing short sales through proprietary trading accounts it had miscoded as market maker accounts.