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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

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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

Court.

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