Total value of investor settlements dip, as cases involve smaller issuers, SPACs
Regulator aims to cut old requirements amid new conduct standards
SRO previews initiatives to industry event
Local boots on the ground needed to defend investors, state regs tell Congress
Exercise examines sector's resilience to a hypothetical shock scenario
Caroline Crenshaw cautioned against suggestion that mining activity doesn't involve securities
SRO consulting on possible reforms to rules around research, underwriting
Extreme stress in nickel markets led to trading outage in 2022
Fund held securities, including oilsands companies, that it said were screened out
Scheme sought to manipulate the value of troubled WeWork shares