Kyndryl Holdings recently disclosed that it cannot timely file its quarterly report due to anticipated material weaknesses in internal controls, triggering an internal accounting review, SEC document ...

The U.S. Securities & Exchange Commission has filed charges against an Orcutt financial adviser accused of defrauding nine victims of more than $2 million. The legal action occurred days before the ...

October 25, 2023 - Since the implementation of the Securities and Exchange Commission's Whistleblower Program under Section 922 of the Dodd-Frank Act in 2011, the SEC has awarded over $1 billion to ...

We collaborate with the world's leading lawyers to deliver news tailored for you. Sign Up for any (or all) of our 25+ Newsletters. Some states have laws and ethical rules regarding solicitation and ...

Cboe needs everyone on Main and Wall Street to know that it is serious about extending trading floor’s window for options, as it filed a proposal with the Securities and Exchange Commission (SEC) on ...

The U.S. Securities and Exchange Commission (SEC) filed suit against an alleged crypto pyramid scheme, NovaTech, and eight of its promoters on Monday, charging them with fraud and multiple violations ...

Richard Schueler, who goes by Richard Heart, hailed the SEC’s abandonment of the fraud case against him as a victory for open-source software, cryptocurrency and free speech. The US Securities and ...

The Securities and Exchange Commission on Friday issued an order directing U.S. stock exchanges and the Financial Industry Regulatory Authority to file a new national market system plan, or NMS plan, ...

The lawsuit against Ripple, filed by the United States Securities and Exchange Commission in December 2020, is finally wrapping up. Ripple and the United States Securities and Exchange Commission (SEC ...