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Company: Securities and Exchange Commission

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A report highlights possible reforms to address issues uncovered in volatile trading


SEC, DoJ allege investor misrepresentation, misappropriation

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Leveraged and inverse ETFs may present risks that go beyond retail investors, Gary Gensler said

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SEC, FINRA, NASAA join forces in investor protection push

rules and regulations

Rule changes from 2020 enable SEC to ban frivolous filers from its tip award program

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The regulator charged a trader for exploiting high volume to carry out a liquidity rebate scheme


Thousands of small trades over five years generated millions in profits, SEC alleges


Platform charged along with scheme's alleged perpetrators

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So-called bond flippers prioritized over retail, institutional clients, regulator alleged


Agency pays near-record US$110 million to tipster