Parallel cases by SEC, CFTC and state regulators result in restitution, penalties
Conduct standards, suitability requirements revised
Regulators propose changes to harmonize with SEC rules, ease restrictions
Brokers settle allegations that investors were charged over 5% on low-value trades
New group to research investor protection, education policy, products
Group's conduct rule adds Reg BI, misleading title, provisions
Local boots on the ground needed to defend investors, state regs tell Congress
Settlement provides refunds to investors that bought variety of digital assets
Fund change triggered large tax bills for certain investors, regulators alleged
Fund investors paid front-end loads, moved into fee-based accounts sooner than expected, regulators alleged