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’ ...

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

According to SEC Enforcement Director Gurbir Grewal, Qatalyst Partners did not have to pay a monetary penalty because it self ...

The firm was among 11 that agreed to pay a total of $88 million to resolve charges of violating federal securities laws by ...

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 U.S. Securities and Exchange Commission (SEC) has charged 12 firms for failing to retain employees' electronic conversations, the latest repercussions of the so-called WhatsApp investigations.

More Wall Street firms have agreed to pay a combined $100 million to settle charges from U.S. regulators that they violated ...

MStudioImages/E+ via Getty Images The U.S. Securities and Exchange Commission's wide-sweeping investigation into ...

Oracle shares rose more than 10% on Tuesday as a push to embed AI into its cloud service products boosted its first-quarter ...

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.