The regulator has also issued an alert about dealing with unregistered, offshore firms and detailing red flags that may signal binary options fraud
Although the U.S. regulator will have to act on the prospect of a uniform fiduciary duty, it’s important not to curb investors’ access to advice
Proposals would require participants in a contested board election to use proxy cards that enable shareholders to vote for any candidate
The U.S. regulator also obtained judgments and orders for more than US$4 billion in disgorgement and penalties.
The bank agreed to admit wrongdoing in misrepresenting how it determined a key performance metric for its wealth management business
The program has awarded more than US$100 million to whistleblowers
Proposal shortens settlement cycle from three business days to two
Reps made unsuitable recommendations in the sale of RCNs to retail clients
Panels will discuss issues such as blockchain technology, automated investment advice and more
Erroneous orders causing numerous “mini-flash crashes”