Credit Suisse made $46 million in profits winning business by hiring friends and family of Chinese officials.
Morgan Stanley’s wealth management business will pay $3.6 million after one of its advisors stole $7 million from client accounts.
The SEC has proposed rule changes for ETFs which would make it easier for new products to come to the market.
Crypto platform Uphold will buy broker-dealer JNK Securities and will apply to operate an alternative trading system (ATS) in the US.
Director of the division of corporate finance at the SEC says sales of Ether are not securities transactions.
Bank of America Merrill Lynch admits masking millions of orders and will pay $42 million for the second time this year.
Lack of clarity on the regulation of cryptocurrencies has proved to be a major barrier for institutional investors looking to trade digital assets.
Vice president at Goldman Sachs charged after making $140,000 from illicit trades between 2015 and 2017.
Legal battle between Nasdaq and IEX heats up as IEX looks to dismiss Nasdaq’s patent infringement claims.
Debate over controversial maker-taker pricing continues in the US as comment letters are published on regulator’s proposed transaction fee pilot.