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Company: Securities and Exchange Commission

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Weak trading volume can have multiple negative impacts

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Eighteen traders generated at least US$31 million in illicit profits, regulator says

U.S. regulators stress that the digital asset sector faces AML obligations

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Edward Bernard will serve as chair

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FINRA has developed resources to help firms comply with the SEC's new conduct rules

rules and regulations written on folder

Fee changes would have to be submitted for comment and approved

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The regulator ruled that the company violated federal securities laws and ordered it to pay a US$24 million penalty

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Investors allegedly weren't told that managed account products used proprietary funds


Firm allegedly violated the U.S. Foreign Corrupt Practices Act

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New rules allow certain ETFs to come to market more quickly