The new “limit up-limit down mechanism” will replace the existing single-stock circuit breakers
SEC alleges material misrepresentations were made to investors amid the unregistered sale of interests in two resorts
Fraud fighting expels dormant shell companies
Egan-Jones Rating made fales claims in its regulatory application, SEC says
The firm, one customer, and four executives are facing allegations
Payment to settle charges with SEC, FINRA of failing to supervise equity analysts
Senior staff at SEC, OSC agree to meet regularly
SEC issues investor bulletin to help educate investors about municipal bonds
Appeal court decision could set a precedent for the banking industry
Proposal would require firms to create programs to spot the signs of identity theft