SEC to return US$500 million to harmed investors
A global survey finds that inspection findings are elevated, but declining
State rules follow the demise of the federal DOL standard
Since 2004, BBB-rated bonds have doubled their share of the market, FTSE Russell reports
Less than 10% of investor losses have been recovered
The SRO is reviewing the impact of zero commissions on order routing and disclosure
Undead firms undermine growth but aren't a systemic risk
Global policy group highlights issues for G20
The OSC proposed a series of curbs on DSC sales that would take effect alongside the ban in the rest of the country
The tool aims to help satisfy the growing investor hunger for ESG insights