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An SEC rule that would increase requirements for companies to disclose their emissions was paused following a lawsuit this spring.
June 21
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A pair of former wealth managers contend they were yelled at and suffered other retribution after raising concerns about sharing clients' information without their knowledge.
March 8 -
Electronic messaging, Reg BI, crypto and fraud all appeared at the top of regulators' agenda this past year.
December 19 -
The Wall Street regulator shows strong interest in preventing relatively new forms of technology from being misused in ways that can harm investors.
November 15 -
Other states are likely to look to Massachusetts for guidance on how far they can go in holding broker-dealers to a higher standard than Regulation Best Interest.
August 25 -
Employees at 11 firms, some ranking as high as senior executive, stood accused of using WhatsApp and similar services to conduct business in violation of recordkeeping rules.
August 8 -
A staff member in the firm's fraud investigations group found reporting failures dating back to 2009.
July 12 -
State regulators accused the wealth management giant of charging customers commissions of $75 or more for small equities transactions.
July 11 -
The bank will pay $290 million over allegations that it didn't do enough to stop disgraced financier.
June 12 -
The former relationship manager has pleaded not guilty to allegations he blew money from client accounts on bad stock bets.
June 9
