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SEC beefs up personal trading rules

Financial sector funds now out of bounds for regulator's employees

Remote working spawns insider-trading case

U.S. authorities allege man secretly traded after overhearing wife's M&A deal

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Consultant sanctioned in private placement scheme

Bulk of funds issuers raised went to consultants that quickly dumped shares

woman working from home with her dog

CSA issues guidance on virtual shareholder meetings

Shareholder advocates have argued they haven't been able to participate fully when AGMs are online

OSC shines a light on “dark” arts of online investing

Investors face risks from sludge, nudges and other hidden tactics

CIRO arms firms to face ransomware attacks

SRO publishes playbook for dealing with growing cyber threat

A gavel rests on its sounding block with a several law books and a justice scale out of fucus in the background. A cool blue cast dominates the scene. (A gavel rests on its sounding block with a several law books and a justice scale out of fucus in t

Disclosure failures violated best-interest rules: SEC

Broker failed to alert investors to cheaper investing channel, regulator alleges

45 cents short, $96 in fees: Court approves TD insufficient fund fees settlement

The settlement will compensate customers who were double-charged a $48 fee

Judge's gavel with magnifying glass on black.

SEC settles with Van Eck over influencer involvement

ETF firm failed to disclose influencer's role in touting fund, regulator alleged

Ex-Goldman analyst convicted for U.K. insider trading

FCA alleged analyst traded on information about pending merger deals

rules and regulations

CIRO seeks new securities lending rules

Proposals aim to codify investor protections, enhance flexibility

A gavel rests on its sounding block with a several law books and a justice scale out of fucus in the background. A cool blue cast dominates the scene. (A gavel rests on its sounding block with a several law books and a justice scale out of fucus in t

Former rep on the hook for recruitment loan

Court rules promissory note between rep and firm is enforceable

BCSC funds FAIR Canada research on DIY investors

The funding comes from enforcement sanctions

Piles of coins

IOSCO consults on margin best practices

Seeks input by Apr. 14 aimed at improving markets' ability to handle elevated margin calls

FCA revs up its anti-hype machine

Regulator reports rise in scam alerts, misleading promos

TD settles sales practices class action

Bank to pay $22 million while denying fund manager's allegations

Treasury proposes new anti-money laundering regulations for U.S. investment advisers

New rules would require advisers to file reports with the government when they suspect clients of suspicious activity

SRO must hand out sanctions before appeal

MSC rules it's premature to hear an appeal until SRO case completed

U.S. Supreme Court upholds whistleblower protections

Analyst was fired after claiming traders tried to influence research

SEC sanctions brokers’ texting

Firms failed to ensure that all communications went through approved channels

A person inside a financial maze made out of hedges.

SEC, CFTC boost private funds’ reporting

Regulators aim to enhance systemic risk oversight, investor protection

Exec convicted in crypto manipulation scheme

Trading bot used for wash trading, spoofing crypto token

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New SEC dealer rule sparks concern

Fund industry critics worry about rules' impact on liquidity, costs

Cheater

FSRA tightens LLQP exam-taking process

Regulator adopts tougher penalties for cheating, restrictions on rewriting

right or wrong choice

FINRA revises arbitration rules

Changes come in the wake of independent review of SRO's arbitration program