The scheme raised US$30 million from more than 300 investors in the U.S. and Canada
In total, the SEC has now paid out approximately US$376 million to 61 whistleblowers
Volkswagen settled with the U.S. over criminal and civil charges in diesel emissions scandal two years ago
The SEC says the rep was involved in a pump-and-dump scheme from 2008 to 2014
Almost 80 firms admitted to violating securities rules
Plot netted US$4.1 million
The pilot would run in parallel with a U.S. Securities and Exchange Commission study
Proposed rule applies only when a broker makes a recommendation
Comparing the success of investor protection programs in Canada and the U.S.
Title reform is catching on inside the SEC as a simple solution that would be straightforward to implement as the regulator moves toward a proposal for a new fiduciary standard, Investment News reported. Title reform would draw a line between brokers and investment advisors (and advisers), limiting who can use the latter title to those […]