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
Authorities allege investors were defrauded with false promise of lucrative private shares
Company went public in a de-SPAC transaction following the audit
Firm tried to hide the fact that cryptoassets represented securities, regulator charged
Regulators fined firms a total US$549 million for record-keeping failures
SEC orders massive award for tips that led to multiple enforcement actions
Offshore stock trades came alongside previously-sanctioned options trades
Compliance reviews exposed gaps in firms' anti-money laundering controls