Info was used to enter into short sale transactions without Stifel's knowledge
SEC, DoJ allege Citron Research, and its founder, misled investors
Ongoing regulatory initiatives include binding authority at OBSI, climate-related disclosures, misleading titles, mutual fund sales practices and more
Company completed offering while valuation was inflated, regulator says
Fund's strategy included working with publishers of bearish articles
Reaction to CIRO’s proposed changes is sharply divided
Expanding access to advice, standardizing KYC data collection on SRO's agenda
Firm failed to adequately oversee rep's risky trading strategy, CIRO says
Financial sector funds now out of bounds for regulator's employees
Proposals aim to codify investor protections, enhance flexibility