A swap dealer settled charges for failing to adhere to "pre-trade mid-market mark" compliance requirements.

The SEC amended Privacy Act regulations that are applicable to the Commission (not the regulations that apply to registrants) to eliminate unnecessary provisions and introduce electronic methods for identity verification and Privacy Act requests.

The SEC adopted rule amendments to prevent investment companies from adopting names that may mislead investors.

A firm settled charges with FINRA for inaccurately reporting 600,000 transactions to the Trade Reporting and Compliance Engine due to its failure to include a "No Remuneration" indicator.

A commercial real estate services and investment firm settled SEC charges for using employee separation agreements containing provisions that discourage potential whistleblowers.