Brokers allegedly traded on info stolen from girlfriend's laptop
Regulator concludes case against man serving 14 years for fraud
SEC alleged firm failed to disclose conflicts in mutual fund revenue sharing
Conflict arose from allocation that generated revenue from "no fee" accounts
Regulator alleged US$14 million overcharging, settles for US$150,000 penalty
Enforcement case concluded against man convicted of insider trading
Only tokenized securities count under new guidance that also clarifies landmark legal test
Regulator seeks to limit brokers' OTC requirements to equities
Former judge leaves agency after just over six months
SRO's proposals seek to enhance regulatory efficiency