U.S. regulators allege prominent executive and her investment firms hid poor performance
Revised exemption will allow smaller companies to sell up to US$50 million of securities in a 12-month period
Craig Lax agrees to pay more than US$783,000 and to be barred from the securities industry for at least five years
The aim is to provide investors with additional information about companies’ governance practices
Firms agree to pay US$500,000 each
Most incidents involve fraudulent emails or malware
SEC alleges Vancouver man was mastermined 20-company pump-and-dump scheme
Firm failed to properly disclose the existence of a certain order type to all of its subscribers, SEC says
Two new rules aim to enhance transparency in the swaps market
Alleged scheme carried out by online traders in Asia