Former CEO awarded $5.3 million in statutory damages for firing
Companies sanctioned in settlement for prospectus, registration violations
Ex-trader faces fraud charges over scheme that promised to front run Berkshire's stock picks
Profitable crypto, FX trades allocated to proprietary accounts over investor pools
Agency uncovered several compliance violations in exam
Regulator approves exchanges proposed generic listing standards
U.K. regulator's proposals consider operational, conduct standards for emerging sector
Regulators push back compliance deadline a third time, to Oct. 1 2026
Exec sanctioned in settlement for alleged violations of derivatives rules
SRO undertakes education effort to boost firms' knowledge on emerging sector