A U.S. government report says regulators could improve their oversight of analyst conflicts of interest
Regulator believes ruling harms investors by depriving them of “substantial, certain and immediate benefits”
Charges follow a year-long SEC investigation focusing on preventing fraud in the micro-cap stock markets
An effective risk based branch office inspection program can better protect investors and the firm’s own interests
Neither admitting or denying the contents of a regulatory order leaves the court with no basis to judge the merits of the deal
New Futures Trading raised over US$1.3 million from investors
Firm to pay US$3.3 million to settle charges
U.S. regulator ordered more than US$2.8 billion in penalties and disgorgement in its latest fiscal year
Hedge fund manager slapped with record fine for illegal insider trading
Self-regulatory organization must undergo review of policies and procedures