The number of low-price, highly speculative stocks on exchanges has exploded, harming investors
No trading suspensions, no drama
Regulator softens complex initial proposal after industry pushback
Regulator’s case against Prager Metis details alleged failures in examining the exchange before its collapse
Research tracking mobile data shows how some corporate insiders avoided losses by selling around the time regulatory staff visited
Thai subsidiary accused of winning government contracts with inducements
Larger firms will have to set up an oversight board with at least one independent outsider
We hardly knew ye
Market maker attacks ‘brazen’ efforts by exchanges to recoup costs of ‘Consolidated Audit Trail’ that tracks securities trading
Decision against Dozy Mmobuosi by US court comes after civil complaint by SEC against his Nasdaq-listed companies
Could do better. C–
Plus, updates on Mango Markets and FTX’s Ryan Salame
Plus, the great lengths of H2O Asset Management and a long-shot bid emerges for 7-Eleven
Activist and his company will pay $2mn to resolve probe launched after Hindenburg Research report
Academic says she was forced to delay publication of paper highlighting pressure on smaller audit firms
Regulator’s sprawling probe has already raked in more than $2bn in penalties
‘Traditional lenders like banks usually won’t offer this kind of loan . . . But we’re different’
Companies that self-reported violations are facing smaller fines than those that did not disclose the conduct
Funds have taken aim at US regulator’s authority in challenge to rule that would have forced greater transparency
Lenders face scrutiny over ‘sweeping’ idle client cash into other investments and pocketing the difference
Abraham Shafi allegedly hoodwinked backers and spent millions of dollars on personal expenses
Compliance FTW
Appeals court ruling that found financial regulator had exceeded its authority will stand
Latest authorisations follow January launches of first US spot bitcoin ETFs
Former Segantii employee Robert Gagliardi says SEC does not plan action against him
