Firm dumped overvalued illiquid securities on retail mutual funds, SEC alleges
Moves to sub-penny trading increments among reforms to reduce costs, enhance transparency
Firm failed to appreciate the risks posed by FTX's affiliated hedge fund, regulator says
Unregistered investment funds are allegedly costing investors millions
Seven companies settle allegations that labour contracts violated SEC rules
Firms settle allegations that confidentiality deals impeded communications with regulators
Firms failed to capture employees' private texts, WhatsApp chats
Fund industry warns about risks to investors as portfolio reporting increases
Interest-bearing accounts constituted securities, regulator alleged
Firms charged over unapproved off-channel communications