Regulator seeks to limit brokers' OTC requirements to equities
Enforcement action targets weaknesses in AML controls, compliance
Regulator to reconsider diversification requirements for listed funds
Regulator issues guidance to beef up the supervision of automated trading
MX agrees to $289,000 in fines and costs ordered against firm, former trader
SRO modernizes market regulation guidance
Regulator levies record fine against Luxembourg-based firm
Panel issues fines, disgorgement, along with suspensions
Firm breached fiduciary duty by unfairly allocating losing trades to clients
Bill raises enforcement penalties, enables binding dispute resolution