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Company: Securities and Exchange Commission

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Financial stock exchange market display screen board on the street

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

Court.

SEC, DoJ allege investor misrepresentation, misappropriation

Concept of success and failure with businessman on statistics bar

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

loseup portrait senior man protecting a piggy bank

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

gavel on a laptop

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

gavel

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

gavel

Platform charged along with scheme's alleged perpetrators

High angle view of mallet eyeglasses legal book in courtroom

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

whistleblower

Agency pays near-record US$110 million to tipster