FINRA CEO tapped to replace Cox
Regulator chief launches investigation
SEC alleges firm was a giant Ponzi scheme
Settlements will restore nearly US$30 billion in liquidity to investors
The U.S. Securities and Exchange Commission has settled with eight former employees of Fidelity Investments’ equity trading desk over allegations that they improperly received travel, entertainment, and gifts paid for by brokers courting business from Boston-based Fidelity, the SEC announced Thursday.As a result of the settlements, the former employees will collectively pay more than US$1 […]
Amendments intended to increase transparency and accountability
Letter warns CEO not to neglect responsibilities
SEC to convene meeting of IOSCO Technical Committee
Rule changes will help mutual fund investors more easily obtain the key information they need
U.S. regulators to address OTC market in credit default swaps