According to SEC Enforcement Director Gurbir Grewal, Qatalyst Partners did not have to pay a monetary penalty because it self ...

A pair of SEC commissioners say the treatment of the brokerage firm Qatalyst shows industry watchdogs expect nothing short of ...

US regulators levied more than $118 million in penalties against several financial firms for failing to keep employees’ ...

According to SEC Enforcement Director Gurbir Grewal, Qatalyst Partners did not have to pay a monetary penalty because it self-reported the results of its investigation.

Stifel, Nicolaus & Co. and Invesco each agreed to pay $35 million to settle charges that they failed to record employee ...

SEC Chair Gary Gensler, during a congressional hearing Tuesday, came under fire from Republicans asserting that he should use regulation more than enforcement to correct company record-keeping.

Eleven broker-dealers and investment advisers have agreed to pay fines of more than $88 million to resolve allegations they ...

In August, more than two dozen firms, including Ameriprise Financial Services, Edward D. Jones & Co., LPL Financial and Raymond James & Associates, paid $393 million in fines to settle SEC off-channel ...

The firms will pay a total of $88.2 million in civil penalties.

The Securities and Exchange Commission said 12 firms agreed to pay combined civil penalties of $88.3 million for violating ...

Day SEC Yield of 0.57% as of Sept. 23. Payable Sep 27; for shareholders of record Sep 23; ex-div Sep 23. More on Invesco ...

Invesco has not been averse to trying new types of strategies, and it was among the firms that immediately launched a spot bitcoin ETF after SEC approval in early 2024. The picture outside the ...