Whistleblower receives US$13 million after hounding SEC about misconduct
Proposal sets tougher independence requirements for boards and committees
SEC proposal to narrow FINRA exemption should benefit brokers
Founders and U.S. promoters were charged after other regulators failed to shut down the scheme
As U.S. industry releases plan, Canadian firms' readiness lags
Proposal would narrow exemption from FINRA for prop trading firms
U.S. trade groups asked courts to restore rule changes favoured by public companies
Firms didn't have adequate programs for spotting red flags
Fraudsman falsely claimed connections with Fed, financial firms
One defendant allegedly learned about Merck’s Pandion acquisition; another allegedly learned about the T-Mobile-Sprint merger