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

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

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

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.

US regulators levied more than $118 million in penalties against several financial firms for failing to keep employees’ electronic communications, the latest fallout from the so-called WhatsApp ...

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 ...

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 ...

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 ...

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