SEC order says that a pilot program expected to last a year will allow it to further study the impact of decimalization on the trading of small-cap stocks
Hedge fund advisory firm charged over whistleblower retaliation
There have been episodes of cancelled certificates being stolen, and later turning up in securities fraud
Dark pool operator accused of using of customer trading data to market its services
Staff are developing recommendations for an anti-disruptive trading rule
Eight whistleblowers have received awards since the program’s launch
Erik Voorhees has agreed to fully disgorging his profits and pay a US$35,000 penalty
Advisory highlights warning signs of investment fraud
Claimant has filed almost 200 applications seeking rewards
U.S. regulator suspends microcap FusionPharm