Regulation
In January 2025
SEC
Regulation
Proposal to the SEC
FINRA Plans to Increase Member Fees to Address Costs
Regulation
For Over $151 Million
The SEC Fines J.P. Morgan Subsidiaries for Compliance Irregularities
Regulation
It Was Pleaded Guilty
TD Bank Will Pay Fines Amounting to About $3 Billion in the U.S. for Practices That Facilitated Money Laundering
Regulation
They Provided Critical Information
The SEC Awards $12 Million in Compensation to Whistleblowers
Regulation
$4 Million Fine
The SEC Accuses WisdomTree AM of Greenwashing in Three ESG ETFs
For Funds Society, MadridRegulation
For $9.3 Million
The SEC Accuses Merrill Lynch and Harvest Volatility Management of Ignoring Client Instructions
Regulation
For More Than $88 Million
The SEC Fines 11 Firms for Misuse of Their Communications
Business
In the U.S. Market
