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Company: Securities and Exchange Commission

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SEC makes last-minute enforcement push article image signing document

SEC makes last-minute enforcement push

Vanguard settles with SEC, NASAA article image Court settlement

Vanguard settles with SEC, NASAA

Firms shortchanged cash sweep clients: SEC article image Judgment fine

Firms shortchanged cash sweep clients: SEC

Quant funds failed to guard models: SEC article image A gavel rests on its sounding block with a several law books and a justice scale out of fucus in the background. A cool blue cast dominates the scene. (A gavel rests on its sounding block with a several law books and a justice scale out of fucus in t

Quant funds failed to guard models: SEC

Private equity giants hit with SEC texting charges article image Phone text

Private equity giants hit with SEC texting charges

SEC sanctions Robinhood violations article image Gavel and texts

SEC sanctions Robinhood violations

Liquidnet sanctioned by SEC article image Class action

Liquidnet sanctioned by SEC

CFTC sees turnover ahead of new Trump administration article image change direction

CFTC sees turnover ahead of new Trump administration

It took 10 years, but insider trader gets prison article image jail bars

It took 10 years, but insider trader gets prison

U.S. trade reporting violations spark sanctions article image A gavel rests on its sounding block with a several law books and a justice scale out of fucus in the background. A cool blue cast dominates the scene. (A gavel rests on its sounding block with a several law books and a justice scale out of fucus in t

U.S. trade reporting violations spark sanctions