The SEC's proposed Reg S-P from 2008. As of 2014, this proposal hadn't been finalized.
The Securities and Exchange Commission is proposing a new rule under the Investment Company Act of 1940 that would exempt exchange-traded funds (‘‘ETFs’’) from certain ...
This is the widely-publicized case of a number of Fidelity broker-dealer reps who settled for accepting extravagant gifts and entertainment. This case is from 2008.