The SEC Now Penalizes Two Massive Investment Banks
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The SEC now penalizes two massive investment banks recovering more than $6 million of excess fees tied to options trading.
SEC Now Adopts Rules To Enhance Transparency of Priced Orders
The SEC now adopts rules to enhance the transparency of priced orders, it said in its latest press release on Wednesday.
The SEC Now Charges 12 Advisors $1.3M For Recordkeeping Violations
The SEC now charges 12 advisors $1.3M for recordkeeping violations after failing to maintain and preserve specific electronic communications.
The SEC Now Charges Three Executives With Defrauding Investors
The SEC now charges three executives with defrauding investors after raising a whopping $170 million based on misleading data.
Citadel Is Now Fighting SEC On The Market Surveillance System
Citadel is now fighting the SEC on the market surveillance system known as CAT, which enables regulators to track trading activity.
