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The whistleblower first reported the information to another federal agency and later provided the same information to the SEC

Audio recording tells investors what fraud sounds like

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U.S. securities regulators are planning to test trading fee limits

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The regulator’s staff is concerned that many online trading platforms may appear to be regulated when they are in fact not

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NYSE, NYSE Arca and NYSE American were charged with various regulatory failures stemming from five separate investigations

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Some of the manipulative trades were placed with Canadian brokers

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The goal is to promote clearer and more robust disclosure by companies about cybersecurity risks and incidents

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To qualify, firms must promptly return money to harmed clients

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The U.S. regulator will focus on cost and compensation disclosure, the supervision and oversight of reps and fixed-income trading execution

Court approves emergency asset freeze on Dallas-based AriseBank