Regulator names exec to oversee its approach to climate risk
The choice for SEC chair signals a more activist role after a deregulatory stretch during the Trump administration
The DoJ and SEC settle with the bank for violations arising from separate bribery, fraud schemes
Five whistleblowers share a combined US$1.1 million for enforcement tips
SEC also awards whistleblower who initially tipped off their lawyer
Former Nomura trader gets probation for 2017 conspiracy conviction
SEC says "free" trading cost customers US$34 million in poor pricing
There's proliferation of pandemic pump-and-dumps, Ponzi schemes and phoney deposits
SEC makes exception from ban on payouts for compliance staff
Top U.S. regulators are leaving their agencies in months ahead