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 ...

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

Elon Musk is being sued by the U.S. Securities and Exchange Commission, claiming he didn't disclose purchases of Twitter ...

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

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

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

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

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