The US Securities and Exchange Commission isn't happy with Elon Musk. The financial regulator thinks Musk blew off court-ordered testimony to attend a SpaceX launch, according to a court filing.

Former SEC attorneys are warning dual-registrant brokerage firms to brace for a crackdown over their recommendation of more expensive brokerage accounts—enforcement they say may rival the regulator’s ...

Two lawyers from the Securities and Exchange Commission (SEC), Michael Welsh and Joseph Watkins, resigned on April 22 following a federal judge’s sanction and severe criticism of the regulatory agency ...

“The longer the shutdown extends the more opportunity there is for problems,” said former U.S. Securities and Exchange Commission attorney Ryan Adams. U.S. Securities and Exchange Commission staff ...

It is hard to imagine that there is a brokerage or advisory compliance official or c-suite executive who hasn’t had at least one sleepless night worrying about whether or not their firm would pass ...

Enforcement defense attorneys are sensing what they interpret to be a welcome shift in the Securities and Exchange Commission's posture toward investigative file access, and that shift involves a ...

The U.S. Securities and Exchange Commission cited convenience for the attorneys involved as one of the primary reasons the action should stay in D.C. Now, U.S. District Judge Sparkle L. Sooknanan is ...

The Securities and Exchange Commission (SEC) charged a New York-based attorney for allegedly engaging in improper conduct by violating her obligations to remain independent after preparing an ...