Trio traded on inside information about pending mergers and acquisitions
Boosting defences to deal with vastly more powerful tech poses a challenge, Fitch says
Firm and executive settled charges with SEC, SDNY
Self-regulatory organization proposes new settlement obligation and expanded guidance
Guards against "fat finger" error to face regs’ scrutiny
Move aims to reduce the burden of printing and mailing disclosures to investors
Policy group advises regulator on policy, operations, investor education
Regulators find investment funds, firms exposed to sector's stress
SRO sees crypto, AI and new account fraud among emerging issues
New measures address the use of DSCs with existing contracts