Many individual investors trust their money with large securities firms or investment dealers. Large brokerage firms typically have thousands of employees. The most recognized firms give investors ...

The price increments at which thousands of stocks and ETFs are quoted look set for an overhaul Wednesday, when the US ...

Entities can settle securities law violations either by admitting or denying charges and paying a settlement amount. The calculator lets applicants input details about violations, regulatory ...

Hedge-fund powerhouse Two Sigma is likely to pay as much as $100 million to settle a Securities and Exchange Commission ...

The U.S. Securities and Exchange Commission fined on Tuesday 12 municipal advisors more than $1.3 million to settle civil charges that they failed to preserve electronic communications such as ...

Citadel Securities has quietly shelved plans to join one of Wall Street’s most prominent clubs: The ranks of bond dealers ...

Understandably, these cryptocurrency companies might have concerns about whether they are required to comply with U.S. laws, including employment and securities laws, when both their employees and ...

Financial securities include equity, debt, and hybrid types, each providing different risks and controls. The SEC regulates securities but many cryptocurrencies remain unregulated, exposing investors.

Misconceptions about preferred securities and delisting are common, leading to unnecessary concerns among investors. Delisting does not give companies new ways to exploit investors. It primarily ...

It doesn’t appear so after the Securities and Exchange Commission this month dunned 26 financial firms for failing to track employee “off-channel” communications. The SEC Chairman wants to ...

The U.S. Securities and Exchange Commission sued Richard Heart over the offer and sale of over $1 billion in unregistered securities. Both sides filed dueling motions on Thursday spanning over 140 ...

Hedge fund Two Sigma is likely to have to pay as much as $100 million to resolve a U.S. Securities and Exchange Commission ...