In latest SEC investigation, 11 firms will pay more than $88 million to settle charges related to off-channel texting ...

The U.S. Securities and Exchange Commission (SEC) has charged 12 firms for failing to retain employees' electronic conversations, the latest repercussions of the so-called WhatsApp investigations.

Vice President Kamala Harris’s economic philosophy isn’t tethered to a specific ideology. According to her campaign, that’s the point.

The SEC has postponed its decision on Nasdaq’s proposed rule change to list and trade options on BlackRock’s iShares Ethereum ...

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

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.

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

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

CIBC and Canaccord Genuity LLC are facing fines in the latest round of disciplinary actions for records-keeping violations in ...

The Securities and Exchange Commission today announced charges against 12 firms, comprising broker-dealers, investment advisers, and one dually-registered broker-dealer and investment adviser, for ...