In joint letter, industry associations lobby against proposed changes
Investment advisers violated revised marketing rules, regulator alleges
Company sanctioned for employee agreements that waived rights to whistleblower awards
Firm failed to reveal conflicted fee payments, regulator charged
Whistleblower first reported suspected misconduct internally, regulator said
Back-office snafu meant clients didn't get discounts on standard fees
New rules aim to improve transparency, investor protection in private fund market
New rule sharply narrows prop traders' SRO exemption
Nomura Securities agrees to trading misconduct penalties in non-prosecution agreement
Robo-advisor violated rules when touting hypothetical performance