Researcher’s analysis led to enforcement action
New areas of focus include ETFs, variable annuities and liquidity controls
SBLOCs carry risks, including potential tax consequences
Wealth management subsidiaries fail to disclose conflicts of interest
Proposals aimed at delivering greater transparency to investors
Former staffer allegedly made for false holding statements about prohibited stocks
The award could have been higher had the whistleblower not hesitated
Credit rating agency charged with misrepresenting its surveillance methodology for ratings of certain complex financial instruments
Hedge fund investors will benefit from access to information
The case is its first involving misstatements and omissions by an issuer of structured notes, the SEC says