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

SEC charges firms, including CM, SF and IVZ, millions in fines for longstanding failures to maintain and preserve electronic communications.

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 ...