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

Stifel and Invesco will pay $35 million each to settle SEC charges that the firms failed to properly retain reps’ off-channel ...

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

US regulators levied more than $118 million in penalties against several financial firms for failing to keep employees’ ...

The SEC’s crackdown on texting and the use of unauthorized messaging apps has continued with 12 municipal advisors being ...

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

According to SEC Enforcement Director Gurbir Grewal, Qatalyst Partners did not have to pay a monetary penalty because it self-reported the results of its investigation.

Stifel, Nicolaus & Co. and Invesco each agreed to pay $35 million to settle charges that they failed to record employee ...

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 ...

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.