Key issues to consider before entering into a settlement with a securities regulator, including the scope of the regulators’ ...

The amount the 14 schools in the SEC last year only inched up, from $51.3 million to $52.5 million because Oklahoma and Texas ...

Robinhood has agreed to fork out $45 million to settle an investigation by the Securities and Exchange Commission over several alleged violations, ...

Earlier in January, BMO settled SEC charges in a matter of alleged deceptive structuring and marketing of CMOs, agreeing to ...

Vince McMahon, the co-founder and former CEO of WWE, has been charged by the U.S. Securities and Exchange Commission (SEC) for violating federal securities laws by failing to disclose two settlement ...

Thailand's SEC is launching a DLT-based trading platform that will digitalize securities trading, reduce settlement times, ...

The SEC says it has settled charges against former WWE CEO Vince McMahon over his failure to disclose that he signed two ...

Vince McMahon agreed to pay $1.7 million to settle Securities and Exchange Commission charges over settlements he made on behalf of himself and World Wrestling Entertainment without properly ...

Therapeutics has filed a Form 8-K with the U.S. Securities and Exchange Commission, SEC, regarding its agreement in principle ...

The press release reveals an ongoing SEC investigation, indicating potential previous compliance issues related to the company's disclosures. The settlement is still subject to approval by the SEC ...

Thailand’s SEC is preparing to transform its capital markets with the launch of a tokenized securities trading system.