The U.S. Securities and Exchange Commission (SEC) is set to collect $63.1 million in fines from nine investment advisers and three broker-dealers over the use of unapproved communication methods.

In the enforcement actions announced Friday, the regulator said the two firms agreed to settle the charges without admitting or denying any wrongdoing.

On December 11, 2024, the U.S. Court of Appeals for the Fifth Circuit (“Fifth Circuit”) vacated the U.S. Securities and Exchange Commission’s

The has SEC said that starting in April 2022, it authorized an investigation into whether any securities laws were broken in connection with Musk’s purchases of Twitter stock and his statements and SEC filings related to the company.

The upstart brokerage agreed to pay the Securities and Exchange Commission for failing to protect sensitive customer data, among other infractions.

Katie Barlow discusses the Securities and Exchange Commission recently suing Elon Musk over his purchase of social media app, Twitter.

Hindenburg is not under investigation by the SEC, to our knowledge, and any suggestion to the contrary is false, the firm said after a Canadian portal cited documents filed before a court in Ontario t

The Securities and Exchange Commission said it reached a settlement agreement with WWE co-founder Vince McMahon, which requires he pay a civil penalty and reimburse the WWE $1.33 million following a yearslong probe over administrative charges.

Regulators filed a lawsuit in federal court stemming from Mr. Musk’s $44 billion purchase of the social media company now called X.

The U.S. Securities and Exchange Commission must now thoroughly 'explain itself' for refusing to grant Coinbase.'s formal request that the agency

NDAQ:CELH) Celsius Holdings, Inc. Is Being Sued For Securities Law Violations And Impacted Investors Are Urged To Contact The Schall Law Firm Before Jan. 21

The U.S. SEC is willing to continue its years-long battle with the blockchain-powered cross-border remittance provider Ripple. However, Ripple’s chief legal officer Stuart Alderoty termed the case as noise and believes the case will be dismissed in the next administration.