Firm sanctioned over reporting, registration failures
Rules were initially crafted to discourage excessive risk taking in the wake of the global financial crisis
The regulator also wants to toughen enforcement and see better advice given at banks
Misrepresentation allegations against pharma company and CEO dismissed
Labor Department finalizes fiduciary rule for retirement advice
Regulator seeks to extend regime to portfolio managers
Regulator adopts new charges to cover added costs on overseeing crypto sector
SRO proposes doubling maximum fines, toughening suspensions
Regulators to boost fee transparency, explore enhanced retail access
Crypto platforms get until Oct. 31 to meet CSA's interim rules