Youngdahl agrees to fraud injunction treasury bond insider trading case
More companies are likely to be charged in the burgeoning scandal surrounding the U.S. mutual fund industry, the head of the Securities and Exchange Commission’s enforcement division told Congress Tuesday. Stephen Cutler, testifying about the investigations into the US$7 trillion mutual fund business, said the SEC plans to send notification to some firms this week […]
Prominent analysts slapped with permanent ban
Former portfolio managers facing securities fraud charges
Regulator mulling over requiring funds to receive orders before pricing shares
Proposal gives SEC ability to regulate a brokerage's parent company and its affiliates on a consolidated basis
Regulator weighs giving shareholders more power to nominate, elect directors
Trader agrees to lifetime ban
CSE failed to enforce trading rules, SEC says
Regulator recommends managers be registered