SEC hopes report will help strengthen compliance
Battoo overstated the value of investments, says SEC
Stolen certificates can result in fraud
Study shows investors want disclosure about their advisor as well as about products
Distribution to aggrieved investors delayed for 16 months
US$50,000 payout for recipient who provided evidence of securities fraud
Emergency court order freezes US$6.5 million in assets
Regulator moves to freeze assets
Consolidated audit trail would require exchanges and SROs to create a database to monitor and analyze trading activity
Approvals are another step in the establishment of a new U.S. regulatory regime for derivatives