FINRA reminded firms that order routing must seek best execution, not richest incentives, in a recent notice
Financial industry can be the first line of defence against exploitation of vulnerable investors
U.S. authorities allege that the friends traded on inside information
Critics question plans to unwind Trump-era rules
Ex-dentist engaged in escalating series of frauds, SEC alleges
The U.S. regulator will examine best execution, payment for order flow and other equities market issues
A receiver has been appointed for Coinseed, which is facing allegations from U.S. authorities
Promoters allegedly used YouTube videos to pitch investors on Bitcoin trading vehicle, the regulator said
A CSA proposal out for a 120-day comment period aims to enhance the quality and cost of financial reporting
The latest award came on a tip that led to multiple investigations and enforcement actions