Firm has agreed to pay US$1.95 million
The new broker conduct rule waters down the protections in the Dodd-Frank Act, the states say
Options Clearing Corp. settled the case without admitting or denying the regulators' findings
Former executive allegedly involved in scheme to inflate the value of company's bond portfolio
A tipster was awarded US$1.8 million for reporting misconduct committed overseas
The firm was fined US$950K for failing to comply with auditor independence rules
The guidance could curb the influence of proxy firms
Agency was accused of failing to disclose that it was paid by issuers to rate ICOs
Regulators approved amendments designed to simplify requirements and ease some restrictions
The regulator has charged 13 firms for abusive ADR practices, generating settlements of more than $427 million