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Piwowar briefly served as acting SEC chairman

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SALI aims to better equip investors to protect themselves against fraud

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The U.S. regulator has also proposed introducing a mandatory new disclosure document that sets out the terms of advisory relationships

The information “strongly supported” several successful enforcement actions

The whistleblower first reported the information to another federal agency and later provided the same information to the SEC

Audio recording tells investors what fraud sounds like

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U.S. securities regulators are planning to test trading fee limits

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The regulator’s staff is concerned that many online trading platforms may appear to be regulated when they are in fact not

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NYSE, NYSE Arca and NYSE American were charged with various regulatory failures stemming from five separate investigations

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Some of the manipulative trades were placed with Canadian brokers