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
Rule divides private fund advisors into two broad groups by size, and the amount of information they must report and the frequency of reporting
Gupta charged with securities fraud
Pipeline agrees to pay $1 million to settle case
Extensive discussions on all aspects of high-frequency trading
SEC joins other U.S. regulators in proposing Volcker Rule
Account structures could be used to facilitate a variety of financial crimes