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
Proposals include stricter rules about proxy solicitation and shareholder proposals
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"
Global Financial Innovation Network grows to include 50 organizations