Change triggered by persistent non-compliance
Sharing of examination findings can help compliance officers proactively fine-tune supervisory controls, regulator says
Remaining US$250 million expected to be distributed later this year
Amendments will further reduce fails to deliver in certain equity securities, regulator says
Pair must each pay US$400,000 penatly
Former head trader pays US$750,000
Uses of 12b-1 fees have strayed from original purposes, Cox says
Recognition would involve the SEC permitting certain types of foreign financial intermediaries to provide services to U.S. investors
Six measures address advisory committee recommendations
Guidance is intended to help public companies strengthen their internal control over financial reporting while reducing unnecessary costs