Agrees to settlement with SEC
Attempts to induce aftermarket purchases during restricted period are prohibited, SEC reminds industry
Will allow broker-dealers to continue to provide broad array of investments to clients
Goal is to ensure nvestors get best price on electronic trades
Replacing previous director, Paul Roye
The biotechnology, health-care and pharmaceutical companies that are clumped uncomfortably into a small pocket of the Toronto Stock Exchange have been ignored by many investors in recent years, often for good reasons. At first glance, the sector still remains weak, but analysts say some of the firms are breaking away from the pack.The group is […]
Alleges Bauer Partnership scheme raised US$1.5 million
Putnam to pay US$40 million, Citigroup to pay US$20 million
Will pay US$300 million and restate some results
New rule governs short-term redemption fees