Reforms follow a review that found shortcomings in existing arrangements
Seven companies settle allegations that labour contracts violated SEC rules
Fraud claims pass suitability issues among investment cases
With reforms pending, the organization will search for new consumer, industry board reps
Self-regulatory organization reported year-over-year decline in decisions and sanctions
Regulator proposes new regime to pay out disgorged funds to victims of misconduct
"Landmark" legislation is significant step forward in protecting investors, organization says
SRO proposes doubling maximum fines, toughening suspensions
Retirees duped by fake investment for almost a decade, SRO finds
Regulator reports results of first supervisory reviews at planner/advisor titling organizations