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

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.

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

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.

In another 11th-hour court loss for Chair Gary Gensler's tenure, judges in a Coinbase case again call the SEC's crypto position "arbitrary and capricious."

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.

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

A judge just ordered the U.S. Securities and Exchange Commission (SEC) to craft a more thorough response to a petition from Coinbase.

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, which is responsible for enforcing laws against market manipulation, says the SpaceX and Tesla CEO ignored the deadline.

Alexander C. Drylewski, Daniel Michael and Shaud G. Tavakoli of Skadden, Arps, Slate, Meagher & Flom LLP discuss lawsuits against the Securities and Exchange Commission concerning the purchase and sale of crypto assets and a potential shift in enforcement activity with a change in administration.