New York Stock Exchange Regulation says it expects to refer 140 potential insider-trading cases to the SEC in 2006, a 26 percent increase from last year and an 105 percent increase from 2004. Fines for the first half of 2006 are up to $3.2 million, just short of the $3.9 million full-year total in 2005.
Profiles and fact sheets of independent broker/dealers and registered investment advisories (RIAs), an outsourcing guide, listings of compliance/regulatory consultants, securities lawyers, recruiters, back-office technology offerings and asset management platform providers.
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