Citigroup also ordered to review its policies, systems, procedures and training relating to sales charge waivers in mutual fund transactions
Brokerages used directed brokerage commissions as incentives
BRUT published order execution reports with critical errors for almost five years
Glauber to be succeeded by vice chairwoman Mary Schapiro
Report recommends teaching the elderly how to how persuasion tactics work
Firms ignored warnings from NASD to cease violating analyst disclosure rules
Final legal separation of the two entities will be completed when Nasdaq becomes a national securities exchange
Various investment pitches are referencing “official” Web sites that are fake
Firms to receive guidance on exam preps, enforcement investigations and more
Alleges facilitation of mutual fund late trading and market timing for hedge funds