Regulator adopts tougher penalties for cheating, restrictions on rewriting
Changes come in the wake of independent review of SRO's arbitration program
European regulators flag threats to investors from industry, influencers
Firms use forced arbitration to discourage clients from pursuing complaints
Regulator to finalize new guidance by the end of 2024
Former rep admitted to misappropriation
Regulator calls for continuity plans at one-man shops
New rules beef up disclosure, investor protections around shell company financings
Compliance review finds potential violations in 70% of firms' messages
Mega-settlements drive global settlements to a five year high, ISS unit reports