Suterwalla made over US$3 million in illicit profits trading in Petco Animal Supplies
Rice failed to supervise reps, regulator says
Former MDS employee and spouse made more than US$1 million from stolen information about MDS’s impending merger with Molecular Devices
Amendments enable mutual funds to submit risk/return summary information from their prospectuses
New rule will clarify commission’s ability to bring enforcement actions
High-tech scam hijacked personal computers to disseminate millions of spam emails
Changes will affect foreign private firms using IFRS
The U.S. Securities and Exchange Commission today announced that early results from the Penny Quoting Pilot program show lowered trading costs for retail trades. An analysis of reports from the options exchanges by the Commission’s Office of Economic Analysis indicate that the pilot has been successful in narrowing average quoted spreads, which enables investors to […]
Seven firms may represent themselves as Nationally Recognized Statistical Rating Organizations
MFS Investment Management’s Pozen to chair committee