Rule changes will substantially increase protection for investors
Protecting retail investors should be regulator’s top priority, Shapiro says
Joint orders clarify respective jurisdictions
Additional arrests in Galleon case
Nasdaq to allow firms to separately report dark pool trading activity
Report is another step forward in the effort to ensure greater harmonization between agencies
Rajaratnam, six others charged
The heads of the U.S. Securities and Exchange Commission and the U.S. Commodity Futures Trading Commission said Wednesday they will soon release a report recommending how to harmonize their respective regulatory regimes.The chairs of both the SEC and CFTC said that they anticipate that, within two weeks, the two agencies will issue a report that […]
Seven Canadian firms on temporary suspension list
Proposals intended to improve the reliability and integrity of the ratings process