The whistleblower first reported the information to another federal agency and later provided the same information to the SEC
Audio recording tells investors what fraud sounds like
U.S. securities regulators are planning to test trading fee limits
The regulator’s staff is concerned that many online trading platforms may appear to be regulated when they are in fact not
NYSE, NYSE Arca and NYSE American were charged with various regulatory failures stemming from five separate investigations
Some of the manipulative trades were placed with Canadian brokers
The goal is to promote clearer and more robust disclosure by companies about cybersecurity risks and incidents
To qualify, firms must promptly return money to harmed clients
The U.S. regulator will focus on cost and compensation disclosure, the supervision and oversight of reps and fixed-income trading execution
Court approves emergency asset freeze on Dallas-based AriseBank