Regulators will be able to share information more freely
Rodman transaction expected to close in 2011
U.S. regulator fines, suspends 11 at company
Regulator also approves proxy proposals addressing several issues
Firms must be mindful of the concerns in dealing with senior investors, regulators say
Equity research reports failed to disclose accurate information about the relationships with the companies covered
Firm misrepresented subprime data
Enhancements to BrokerCheck will benefit investors
MOU will enhance investigations of cross-border market abuse
Proposed registration requirements would include passing a qualification exam