Only tokenized securities count under new guidance that also clarifies landmark legal test
Regulator seeks to limit brokers' OTC requirements to equities
Former judge leaves agency after just over six months
SRO's proposals seek to enhance regulatory efficiency
Maintenance mishap led to failure of market opening auctions
Enforcement action targets weaknesses in AML controls, compliance
Investors were falsely promised pre-IPO access, but money misappropriated
Former clients overcharged, had assets misappropriated
Cases, penalties decline following leadership change, shift in focus
Fashion tech entrepreneur used false financials, audits to secure funding