Compliance exam report documents SRO's emerging and ongoing concerns
SEC, DoJ charge eight over social media driven pump-and-dumps
Precious metals trader guilty of wire fraud, federal jury finds
U.S. authorities allege Quebec firm used in market manipulation
SRO sees surge in scams involving foreign-issuer, small-cap IPOs
ESMA, EU energy regulator team up to increase market surveillance
SEC, DoJ allege that market manipulation drove penny stock to outlandish valuation
NSSC settles with Halifax firm that failed to oversee its day traders in China
BofA sanctioned for millions of reporting lapses over 10 years
Fund manager aimed to trigger US$20-million options payout, U.S. authorities allege
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