Award is SEC program’s third highest to date
Regulatory reporting by FINRA members could provide important new information about day‑to‑day activity in both inter‑dealer and dealer‑to‑client markets
International scheme used stolen releases to make trades before the information came out
The firm’s Canadian chairman paid others to tout the company’s stock, regulator alleges
Proposal would enable regulators to efficiently track all trading activity in the U.S. equity and options market
Input sought on whether the disclosure requirements continue to elicit the information that investors need for investment and voting decisions
The requested funding would allow the SEC to hire an additional 250 staff and allow it to invest in technology
Institutional investors defrauded in a scheme that involved fictitious fund investments, SEC alleges
The firms have agreed to pay more than US$9.5 million to resolve the charges
Peter Driscoll named chief risk and strategy officer