In latest SEC investigation, 11 firms will pay more than $88 million to settle charges related to off-channel texting ...

Stifel and Invesco will pay $35 million each to settle SEC charges that the firms failed to properly retain reps’ off-channel ...

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

US regulators levied more than $118 million in penalties against several financial firms for failing to keep employees’ ...

Eleven broker-dealers and investment advisers have agreed to pay fines of more than $88 million to resolve allegations they ...

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

According to SEC Enforcement Director Gurbir Grewal, Qatalyst Partners did not have to pay a monetary penalty because it self-reported the results of its investigation.

The SEC’s crackdown on texting and the use of unauthorized messaging apps has continued with 12 municipal advisors being charged more than $1.3 million in combined fines, as well as six nationally ...

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.

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 ...

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