An investment adviser settled SEC charges for conflicts of interest, material misstatements and omissions, supervision violations and reporting violations related to the adviser's activities with special purpose acquisition companies.

The SEC opened a new comment period to consider objections to proposed revisions to the funding model for the consolidated audit trail.

An investment adviser settled SEC charges for failing to fully disclose compensation paid to its affiliated broker-dealer for certain mutual fund transactions and related conflicts of interest.

A broker-dealer settled FINRA charges for failing to disclose to investors that certain issuers of securities offerings failed to timely file audited financial statements with the SEC.

An introducing broker-dealer settled FINRA charges for failing to maintain accurate records as to customers' securities holdings and cash balances and providing inaccurate information to customers.