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 ...
Top Republican officials at the U.S. Securities and Exchange Commission are poised to begin overhauling the agency's ...
Two Sigma Investments waited four years to address vulnerabilities that hedge fund employees noticed in its investment models ...
The U.S. Securities and Exchange Commission (SEC) on Friday said a pair of Wells Fargo Advisory firms and Merrill Lynch have ...
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The violations stem from a 2020 change where Vanguard lowered the minimum investment requirement for its institutional target ...
A judge just ordered the U.S. Securities and Exchange Commission (SEC) to craft a more thorough response to a petition from ...
The U.S. Securities and Exchange Commission on Friday said Digital Currency Group Inc. and the CEO of its now-defunct ...
LPL Financial, a La Jolla-based investment and wealth management services firm, will pay $18 million to settle charges by the ...
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 ...
The Security and Exchange Commission (SEC) filed a lawsuit against Elon Musk, owner of social media giant X (formerly known ...
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