Firms failed to disclose massive markups on pre-IPO securities
Rep allegedly exploited credit brokers provide to facilitate new client trading
Firm agrees to proxy voting changes, US$29.5 million payment, to end case
Scheme to boost stock price claimed that Berkshire bought insurer's stock
Firm failed to adjust loan pricing to reflect impact of market turmoil
Revisions aim to clarify, streamline certain enforcement practices
Investors, mainly seniors, duped in pooled fund scheme, SEC charged
Regulator aims to reduce burden by relaxing portfolio reporting rules
Execs misappropriated tokens from "locked" liquidity pools
SRO crafts exception from ban on using performance projections