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Dissenting commissioner says it's "absurd that the commission is excusing billionaires from the notice-filing requirement"


SEC also enjoyed a record level of co-operation in its enforcement efforts


Three victims of fraud notified SEC of scheme targeting retail investors


Firm and its founders ordered to pay US$6.9 million


The increases came in spite of the U.S. federal government shutdown

Stacked white books on rules and regulations

Proposals include stricter rules about proxy solicitation and shareholder proposals

hand holding a megaphone

SEC also extends soft-dollar relief related to MiFID II


A sports auction site allegedly required investors to sign an agreement stating they would not report violations to the SEC


Proxy advisory firm claims guidance is "arbitrary and capricious"

usiness investment opportunities on a global scale

Global Financial Innovation Network grows to include 50 organizations