The firms had been previously warned about compliance deficiencies but failed to effectively act upon those warnings
Startup companies would be able to sell stock over the Internet to small-time investors
Software glitch disrupted markets in August 2012
SEC to publicly share data, research, and analysis as the agency continues its review of equity market structure
Three clients of Manarin Investment Counsel paid almost US$700,000 in unnecessary trailer fees
Tips helped recover millions in investor funds
Canadian woman ordered to pay US$1.1 million for her role
SEC alleges Paul Konigsberg aided the falsification of books and records
U.S. regulator alleges firm’s chairman illegally transferred millions
Proposed rule would require companies to disclose CEO-worker pay difference