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Regulator's reviews uncover shortcomings in brokers' Reg BI compliance

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Securities prices sometimes relied on single sources, the SEC alleged

  • By: Staff
  • January 23, 2023 January 23, 2023
  • 14:38
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Earlier tip didn't prompt investigation or enforcement action, regulator rules

gavel on a wooden bench

Regulator alleged investors weren't told the truth about CEO's dismissal


Ex-BlackRock portfolio manager sought help for daughter's acting career while investing in film industry

Silver referee whistle

Regulator set aside timing requirements and ordered award for anonymous tips

  • By: Staff
  • December 19, 2022 December 19, 2022
  • 14:56
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Proposed reforms are likely to drive volume away from wholesalers and market makers, reports say

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The regulator proposed reforms to enhance competition and boost investor protection

Bear market, Financial and business, stocks, cryptocurrency, defi, decentralized finance

The criminal indictment is on top of civil charges from the SEC

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Firm agrees to pay $US4 million to resolve charges that it didn't follow ESG policies