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
Firms failed to make required disclosure of stock dilution
Pair accused of staging a massive promotional campaign for a penny stock while dumping its shares
Fraudsters continue to use dormant shell company scams to manipulate stock prices
Industry gives rule a mixed review