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The SEC approved a pilot plan that will allow some orders to go undisplayed on the New York Stock Exchange as a way for the biggest stock trading venue to attract individual investors.
July 6 -
A federal appeals court struck down Goldman Sachs appeal of a $20.6 million arbitration award decision on Tuesday, holding up the original 2010 decision in favor of creditors of the Bayou Group.
July 5 -
An investment management firm now owned by Wells Fargo has agreed to pay $25 million to settle claims that it misled investors about the makeup of a mutual fund it once marketed.
July 5 -
Ken Joseph will take over the role of regional director of the examination program for the New York Offices of the SEC
July 3 -
Large arbitration cases of $10 million or more can now create new processes to fit a case and go around certain established rules under a new pilot program launched today by the Financial Industry Regulatory Authority, or FINRA.
July 2 -
Higher operating costs, increases in employee compensation and losses in equity markets took their toll on the regulators books.
July 2 -
How often have sponsors had to intervene to prop up money market funds?
July 2 -
A proposal by regulators to revamp the way banks must measure risk on certain assets is alarming many community bankers, who argue it will raise capital requirements, increase compliance costs and curb lending.
July 1 -
When do you have to be forthcoming about a civil action coupled with a bankruptcy?
July 1 -
Revision aligns with FINRA's new rule on suitability.
July 1
