Proposed reforms are likely to drive volume away from wholesalers and market makers, reports say
SEC, DoJ allege trader tipped off day-trading retiree in long-running gambit
Shorter settlement cycle for mutual funds won't be mandated
SEC, DoJ charge eight over social media driven pump-and-dumps
The bank settled with U.S. and Danish authorities over breaches
The criminal indictment is on top of civil charges from the SEC
Whistleblower was awarded US$20 million
Weaknesses in firms' practices uncovered in compliance exams
Focus on greenwashing has heightened regulatory risk for ESG funds, managers
Tipster gets US$20 million despite involvement and delay in reporting