The regulator is looking for comments on its Draft 2014-2015 Statement of Priorities
The firm raised $90 million from investors between 2005 and 2011
Arvind Sanmugam pled guilty to fraud in 2012
Chairman’s pay stays flat at $715,000
Regulator says independent analyst had undisclosed financial interests in some of the companies that she covered
Wiretaps would be used for gathering evidence of insider trading and tipping
Bank Leumi agrees to pay $500,000
Fraud remains the biggest source of cases against individuals
Exemptions intended to help firms raise capital, while protecting investors
Distribution of Pro-Index Funds to new investors to cease