Changes come in the wake of independent review of SRO's arbitration program
Firms use forced arbitration to discourage clients from pursuing complaints
Compliance review finds potential violations in 70% of firms' messages
SRO sees crypto, AI and new account fraud among emerging issues
Study of firms' plans for advanced tech will inform regulation and oversight
Firms to pay US$2.6 million, including US$1 million in client restitution
BofA fined over anti-spoofing supervision in U.S. Treasury markets
SEC approves SRO rules to facilitate work-from-home supervision
SRO executive leaves after nine years at the agency
SRO examines potential implications of a computing revolution