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
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