Compliance review finds potential violations in 70% of firms' messages
SRO sees crypto, AI and new account fraud among emerging issues
Study of firms' plans for advanced tech will inform regulation and oversight
Firms to pay US$2.6 million, including US$1 million in client restitution
BofA fined over anti-spoofing supervision in U.S. Treasury markets
SEC approves SRO rules to facilitate work-from-home supervision
SRO executive leaves after nine years at the agency
SRO examines potential implications of a computing revolution
Regulator adopts new rules to boost transparency around short activity, securities lending
Clients' assets misappropriated rather than invested, U.S. authorities charged