Company: Securities and Exchange Commission

1477 results found
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Regulator orders fines, disgorgement against portfolio manager, broker

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Firms fined by U.S. regulators for off-channel communications

Business lawyer team. Working together of lawyer in the meeting.

SEC opts not to penalize investment adviser that self-reported violations

Judge looks at papers

Firm dumped overvalued illiquid securities on retail mutual funds, SEC alleges

Rules and regulations

Moves to sub-penny trading increments among reforms to reduce costs, enhance transparency

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

Firm failed to appreciate the risks posed by FTX's affiliated hedge fund, regulator says

Judge looks at papers

Unregistered investment funds are allegedly costing investors millions

Business lawyer team. Working together of lawyer in the meeting.

Seven companies settle allegations that labour contracts violated SEC rules

Judge looks at papers

Firms settle allegations that confidentiality deals impeded communications with regulators

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

Firms failed to capture employees' private texts, WhatsApp chats