SEC: Enforcement

Peirce worries enforcement action may harm very investors it's designed to protect

Velissaris knew or recklessly disregarded that he was, in fact, manipulating the valuations of the Infinity Q Funds’ positions in the Pricing Service and was ...

"We urge firms that continue to be delinquent in fulfilling their Form CRS obligations to come into compliance with the law and to self-report to ...

"Lurking behind the legal analysis, however, is an important question:  Is the approach we are taking with crypto lending the best way to protect crypto ...

Wahed Invest had no written policies and procedures addressing how it would assure Shari’ah compliance on an ongoing basis or how it would calculate and ...

'You’ve got to make sure that employees understand what the rules are,' expert warns

Lots of trouble has befallen German Nino, the former UBS rep in Miami who faces SEC and criminal charges for allegedly stealing $5.8 million from ...

Rule proposals open private funds' year of living dangerously

'I take full and sole responsibility for my conduct,' heir to shopping dynasty says

Commission's theory 'unique,' but 'within the contours" of the law, judge rules