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Company: Securities and Exchange Commission

1457 results found
signing document

SEC makes last-minute enforcement push

Agency reports record enforcement filings, seeks to save dealer rule

Court settlement

Vanguard settles with SEC, NASAA

Fund change triggered large tax bills for certain investors, regulators alleged

Judgment fine

Firms shortchanged cash sweep clients: SEC

Advisory clients only offered low-paying sweep accounts, regulator alleged

A gavel rests on its sounding block with a several law books and a justice scale out of fucus in the background. A cool blue cast dominates the scene. (A gavel rests on its sounding block with a several law books and a justice scale out of fucus in t

Quant funds failed to guard models: SEC

Firms breached fiduciary duties by ignoring known vulnerability, regulator alleged

Phone text

Private equity giants hit with SEC texting charges

Regulator settles with 12 firms for a combined US$63.1 million

Gavel and texts

SEC sanctions Robinhood violations

Firms pay US$45 million to settle trade reporting, recordkeeping violations

Class action

Liquidnet sanctioned by SEC

ATS operator settles allegations of compliance shortcomings

change direction

CFTC sees turnover ahead of new Trump administration

Regulator's head of enforcement, chair to depart next week

jail bars

It took 10 years, but insider trader gets prison

Judge hands down sentence in insider trading case brought in 2015

A gavel rests on its sounding block with a several law books and a justice scale out of fucus in the background. A cool blue cast dominates the scene. (A gavel rests on its sounding block with a several law books and a justice scale out of fucus in t

U.S. trade reporting violations spark sanctions

Trio of firms sanctioned for regulatory reporting issues