The Securities and Exchange Commission announced Tuesday that a Morgan Stanley subsidiary has agreed to pay $35 million to settle claims that it consistently failed…
The SEC proposes that more Treasury trades be routed through clearinghouses
The measure comes amid broader concerns about the resilience of the $24 trillion Treasury market Regulators are working to reverse a decades-long shift away from…
VMware pays $8 million to settle SEC allegations claiming the company deceived investors
VMware agreed to pay the Securities and Exchange Commission (SEC) $8 million to settle allegations that it distorted its backlog reporting to conceal poor financial…
AT&T’s request to dismiss SEC lawsuit over leaks to analysts dismissed by US judge
On Thursday, a U.S. judge denied AT&T Inc’s request to dismiss a Securities and Exchange Commission complaint accusing the phone company of selectively leaking financial…
SEC boosts incentives for whistleblowers
The Securities and Exchange Commission (SEC) authorized changes to whistleblower rules aimed at increasing incentives in a program that has rewarded more than $1.3 billion…
Twitter misled US regulators about hackers and spam, according to a whistleblower.
Twitter Inc deceived federal authorities about its protections against hackers and spam accounts, according to a whistleblower complaint filed by the social media company’s former…
Maryland bank to pay $22.9 mln for concealing loans to ex-CEO
A Maryland bank agreed to pay approximately $22.9 million to settle claims brought by two US regulators that it failed to disclose tens of millions…
Melvin Capital Management is being invested by SEC
Regulatory agency asking about hedge fund’s risk controls, disclosures following meme-stock losses According to persons familiar with the situation, the Securities and Exchange Commission is…
Morgan Stanley will pay $200 million to settle a US record-keeping inquiry.
Morgan Stanley announced on Friday that it had agreed to pay $200 million to US regulators to settle investigations into its record-keeping practices. According to…
SEC charges 11 individuals in a $300 million crypto pyramid scheme
Those charged included the four founders of the scheme named Forsage. They were last known to be living in Russia, the Republic of Georgia, and…