The SEC disclosed 7 actions against alleged misbehavior with only three days left for the Biden administration.

Vanguard Group will pay $106.4 million to settle U.S. Securities and Exchange Commission charges alleging it failed to ...

The U.S. Securities and Exchange Commission (SEC) on Friday said a pair of Wells Fargo Advisory firms and Merrill Lynch have ...

The U.S. Securities and Exchange Commission on Friday said Digital Currency Group Inc. and the CEO of its now-defunct ...

The U.S. Securities and Exchange Commission is suing Elon Musk for allegedly failing to properly disclose his purchase of ...

Top Republican officials at the U.S. Securities and Exchange Commission are poised to begin overhauling the agency's ...

The violations stem from a 2020 change where Vanguard lowered the minimum investment requirement for its institutional target ...

Two Sigma Investments waited four years to address vulnerabilities that hedge fund employees noticed in its investment models ...

A judge just ordered the U.S. Securities and Exchange Commission (SEC) to craft a more thorough response to a petition from ...

LPL Financial, a La Jolla-based investment and wealth management services firm, will pay $18 million to settle charges by the ...

On January 15, 2025, the SEC formally filed an appeal with the Second Circuit Court to overturn Judge Analisa Torres' July ...

Gary Gensler’s Securities and Exchange Commission (SEC) branded Binance.US “a cauldron of fraud,” and used its power and ...