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 ...

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.

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 ...

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.