SEC orders massive award for tips that led to multiple enforcement actions
Offshore stock trades came alongside previously-sanctioned options trades
Compliance reviews exposed gaps in firms' anti-money laundering controls
Regulator insists cryptoassets were securities, despite efforts to skirt that designation
The rule encompasses third-party apps
Proposed rules would require firms to identify and combat conflicts built into technologies
New rules increase minimum liquidity requirements and prohibit "gates"
FINRA expels firm; SEC, DoJ charge broker for exploiting vulnerable investors
U.S. SRO aims to enable more efficient oversight as reps continue to work from home
Authorities bring series of cases alleging array of trading misconduct