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Egan-Jones, founder, fined in settlements with regulators

Washington DC skyline with Monument Capitol and Abraham Lincoln memorial

Jaime Lizárraga and Mark Toshiro Uyeda to replace Lee and Roisman as Securities and Exchange commissioners


Firm, reps charged for selling risky illiquid bonds to retail investors, retirees


Regulator says engineer traded with advance knowledge of deal for Canadian firm

gavel on a laptop

Regulator alleges an array of false, misleading disclosures

stock market down

Possible SEC reforms to order handling rules would reshape trading landscape: Moody's


Firm touted lack of fees while making money on investors' cash holdings

Wall street sign in New York with American flags and New York Stock Exchange background.

Regulator to consider sweeping market structure reforms

Lightbulb drawn around tree image, indicating sustainable ideas

Proposals to enhance disclosure to fund investors out for 60-day comment period


Firm deceived investors about trading halt, SEC alleges