U.S. regulator outlines 2015 priorities for compliance office
Complicated payoff structures can make it difficult for investors to assess value, risk and the potential for growth
EDGA, EDGX agree to settle charges
Miscellaneous fees charged by some brokerage firms can have a “significant” impact on returns
Firms violated independence rules in their work for brokerage firms
More than 1,000 whistleblowers from 82 countries have made confidential disclosures to U.S. regulators since 2011
U.S. regulator warns investors about Ebola-related scams
Rules aim to reduce the occurrence of technology issues and improve the U.S. securities industry’s resilience
Pump-and-dump schemes touted stocks in supposedly independent newsletters
The alleged high-yield investment scheme used social media pitches on Facebook, YouTube, and Twitter