SEC obtains permanent injunctions against Sorenson and Brost
Ban reduces the risk that trades will be executed at irrational prices
New rule requires brokers and dealers to have risk controls in place before providing their customers with access to the market
Berkshire Resources offered fraudulent ‘units of participation’
‘Golden parachute’ arrangements to face shareholder scrutiny
Computerized selling program set off two waves of ‘liquidity drains’
Investors misled about the riskiness and credit quality of ‘enhanced cash’ fund
Miszuk consents to US$75,000 penalty
U.S. regulator also clarifies process for breaking erroneous trades
Regulators must take more steps in response to May incident