The goal is to promote clearer and more robust disclosure by companies about cybersecurity risks and incidents
To qualify, firms must promptly return money to harmed clients
The U.S. regulator will focus on cost and compensation disclosure, the supervision and oversight of reps and fixed-income trading execution
Court approves emergency asset freeze on Dallas-based AriseBank
The respondents were allegedly “engaged in shocking misconduct” and were subsequently terminated, resigned or placed on leave
Robert Jackson Jr. and Hester Peirce participated in the inaugural meeting of the SEC’s new fixed income market structure advisory committee
Less investor protection and greater opportunities for fraud and manipulation mean investors should be wary
Munchee Inc. sought to raise US$15 million
The regulator’s whistleblower program, which pays for information resulting in significant enforcement action, has awarded more than US$179 million to 50 whistleblowers thus far
The U.S. regulator has frozen the assets of Dominic Lacroix and his Quebec-based company, PlexCorps