22 investment firms paying total US$14.4 million to settle SEC charges of improper short selling
SEC releases list of measures to address trading disruption risks
Bulletin highlights the confusing, unregulated nature of professional titles
Review finds deficiencies with business continuity plans of some firms
SEC determined to enhance safeguards for strong market systems, following Nasdaq outage
Regulator says ex Oppenheimer manager provided false information about fund’s performance
Regulators advise investment firms to reassess business continuity and disaster recovery plans
Alert sets out practices found to be effective in detecting and preventing this sort of trading
Exchanges and investment professionals cautioned to monitor composition of indices when offering futures products
Stein, Piwowar to serve as SEC commissioners