Company: Securities and Exchange Commission

869 results found

SEC strategic plan puts retail investors at top

The new plan will guide the U.S. regulator’s work over the next four years

The anonymous tipster furnished extensive assistance which helped the U.S. regulator bring a successful enforcement action in the case

The group argues that the proposed rule, as it stands, is too weak in certain respects and too ambiguous in others

Republican congressman Christopher Collins of New York, his son and others were arrested for their roles in an alleged insider trading conspiracy

U.S. regulator adopts rules to enhance transparency and oversight of alternative trading systems

The updated rules would be designed to make it easier to pay financial rewards to tipsters

The revised agreement is aimed at addressing issues such as the regulation of swamps and security-based swaps

U.S. regulator adopts rule to modernize fund disclosure

Piwowar briefly served as acting SEC chairman

SALI aims to better equip investors to protect themselves against fraud