Fake emails promise compensation from auction rate securities settlements
Reforms would better safeguard investors and the broader financial system
SEC approval of FINRA rule expands TRACE to primary bond market
Violations focused on outsourcing of communications with customers
Firms failed to provide adequate disclosure to investors
Investors should consider seeking the advice of an advisor, regulators say
Firm failed to make independent research available to customers
Investors get more than US$5 million in remediation
Increased collaboration will benefit investors
BetaPro report aims to eliminate confusion over leveraged ETFs