Home Securities and Exchange Commission

Company: Securities and Exchange Commission

1289 results found
Businessmen trading stock looking at graphs indexes and numbers on multiple computer screens

Market manipulation scheme run on Discord channel, regulator says

Law concept - Law book with a wooden judges gavel on table in a courtroom or law enforcement office

Tips on upcoming mergers involving SPACs allegedly sent to friend

Hands behind bars

Investors were misled about fund's trading and holdings, U.S. district court judge says

Texting hands

Senior employees used WhatsApp for business communications, regulators find

Businessman Blowing Whistle Isolated on White Background

Record-setting payout follows tip that caused regulator to widen ongoing investigation, prompted action from a second federal agency

Air raid sirens

Rules aim to enhance systemic risk oversight and investor protection

Disclosure form

Investors to get more detailed disclosure of issuers' repurchase activity


Former CFO embezzled US$5 million to trade meme stocks, crypto

rules and regulations

Changes to dealer rules, trading rules aim to facilitate shorter settlement cycle

A keyboard with a blue button - Robo Advisor

Clients missed out on potential tax benefits after firm failed to alert them to changes in automated service