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 ...

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

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

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

The U.S. Securities and Exchange Commission has sued billionaire Elon Musk, saying he failed to disclose his ownership of ...

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

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

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 ...