The SEC disclosed 7 actions against alleged misbehavior with only three days left for the Biden administration.

LPL Financial, a La Jolla-based investment and wealth management services firm, will pay $18 million to settle charges by the ...

The alleged violations stem from a 2020 change where Vanguard lowered the minimum investment requirement for its ...

The Vanguard Group has agreed to pay $106.4 million to settle U.S. Securities and Exchange Commission (SEC) charges over ...

The U.S. Securities and Exchange Commission on Friday said Digital Currency Group Inc. and the CEO of its now-defunct ...

Vanguard Group will pay $106.4 million to settle U.S. Securities and Exchange Commission charges alleging it failed to ...

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 has sued billionaire Elon Musk, saying he failed to disclose his ownership of ...

A judge just ordered the U.S. Securities and Exchange Commission (SEC) to craft a more thorough response to a petition from ...

Gary Gensler’s Securities and Exchange Commission (SEC) branded Binance.US “a cauldron of fraud,” and used its power and ...

The U.S. Securities and Exchange Commission is suing Elon Musk for allegedly failing to properly disclose his purchase of ...