On December 20, 2024, the U.S. Securities and Exchange Commission (SEC) announced that it settled charges issued against one registered investment adviser and two private companies for failing to file ...

The SEC’s September 17, 2024, actions signal its commitment to penalize non-compliance, while encouraging market participants to self-report violations. On September 17, 2024, the US Securities and ...

The U.S. Securities & Exchange Commission has filed charges against an Orcutt financial adviser accused of defrauding nine victims of more than $2 million. The legal action occurred days before the ...

The long-running legal battle between the U.S. Securities and Exchange Commission (SEC) and Ripple Labs has taken a significant turn, with both sides filing a joint motion to hold the ongoing appeal ...

The Securities and Exchange Commission (SEC) filed a lawsuit last week against a company and a specific business deal that directly involves President Biden’s younger brother, James Biden. The ...

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The Securities and Exchange Commission on Friday issued an order directing U.S. stock exchanges and the Financial Industry Regulatory Authority to file a new national market system plan, or NMS plan, ...

The U.S. Securities and Exchange Commission wants the bankrupt Lordstown Motors Corp. to pay $45 million - an amount the government said represents "monetary remedies for violations of federal ...

Ripple Labs and the U.S. Securities and Exchange Commission (SEC) have jointly requested a pause in their respective appeals to finalize a potential settlement, per a motion filed on Thursday. The ...

The U.S. Securities and Exchange Commission moved to drop its long-running lawsuit against crypto exchange Binance on Thursday, without providing an explanation in a court filing. The SEC and Binance ...