Firms must be mindful of the concerns in dealing with senior investors, regulators say
Without admitting or denying allegations, Citi agrees to SEC penalty
U.S. regulator to take public comment before adopting rules
Measures aim to improve the regulation and disclosure of trailer fees
Wall Street giant to pay fine and compensation to investors
Proposed changes would make the system more transparent
U.S. regulator won’t seek any deferred penalties
U.S. regulators proposed to add Russell 1000 Index securities and selected exchange-traded funds
In response to "flash crash", new rules would help market participants manage risks
Agreement extends co-operation to day-to-day supervision and oversight of regulated firms