The SEC found that the firm failed to review inactive accounts and also overcharged clients
Alleged scheme involved off-exchange binary options on commodities and foreign currencies
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