Austin Kauh, who had been Chewy's director of Treasury, allegedly obtained material nonpublic information about partnership ...

The SEC has dished out more than $3 billion in fines regarding off-channel communications, with another 11 firms getting ...

SEC charges firms, including CM, SF and IVZ, millions in fines for longstanding failures to maintain and preserve electronic communications.

Beleaguered chipmaker Intel Corp. (ticker: INTC) might finally see an end to its recent troubles following a disastrous earnings report on Aug. 1, where the firm disclosed a loss of 38 cents per ...

Vice President Kamala Harris’s economic philosophy isn’t tethered to a specific ideology. According to her campaign, that’s the point.

The SEC has postponed its decision on Nasdaq’s proposed rule change to list and trade options on BlackRock’s iShares Ethereum ...

Stifel, Nicolaus & Co. and Invesco each agreed to pay $35 million to settle charges that they failed to record employee ...

A pair of SEC commissioners say the treatment of the brokerage firm Qatalyst shows industry watchdogs expect nothing short of ...

SEC Chair Gary Gensler, during a congressional hearing Tuesday, came under fire from Republicans asserting that he should use regulation more than enforcement to correct company record-keeping.

The firms will pay a total of $88.2 million in civil penalties.

In August, more than two dozen firms, including Ameriprise Financial Services, Edward D. Jones & Co., LPL Financial and Raymond James & Associates, paid $393 million in fines to settle SEC off-channel ...