Keyword: Investor protection

1699 results found
Gavel and texts

Resolution avoids risk of litigation, insolvency, court finds

Regulator abandons legal defence of climate rules that began under previous administration

whistle blower

Bipartisan proposal would extend anti-retaliation protections, speed up award decisions

Chart showing ups and downs of stock market

In settlement with OSC, executive sanctioned for loss-making insider trading

Class action

Total value of investor settlements dip, as cases involve smaller issuers, SPACs

UK flag

Regulator aims to cut old requirements amid new conduct standards

Sign on the building of Financial Industry Regulatory Authority, or Finra, in Manhattan NYC lower financial district downtown, businessman man walking stock photo

SRO previews initiatives to industry event

Local boots on the ground needed to defend investors, state regs tell Congress

Facade of bank of england

Exercise examines sector's resilience to a hypothetical shock scenario

Crypto coins

Caroline Crenshaw cautioned against suggestion that mining activity doesn't involve securities