On September 4, the SEC announced it had settled charges against three affiliated registrants (the respondents) accused of violating the ...

Seven companies settled with the Securities and Exchange Commission over charges that they violated rules protecting ...

You can’t put any language in an agreement that would prevent a client from reporting a broker-dealer’s actions," says one attorney.

SEC fines Nationwide Planning, affiliates combined $240K over impeding whistleblowers By Aaron Nicodemus 2024-09-05T18:19:00 Broker-dealer Nationwide Planning Associates and two affiliated investment ...

under the Securities Exchange Act of 1934, a whistleblower protection rule that prohibits taking any action to impede an individual from communicating directly with SEC staff about possible ...

under the Securities Exchange Act of 1934, a whistleblower protection rule that prohibits taking any action to impede an individual from communicating directly with SEC staff about possible securities ...

Whistleblowers have told Sen. Josh Hawley, R-Mo., that Secret Service personnel are "woefully unprepared" and given inadequate training to properly protect candidates – including former ...

All right, we're gonna answer back to you. The U.S. Securities and Exchange Commission fined six major credit rating organizations a total of $49 million for their "significant failures" to keep ...

The US Securities and Exchange Commission fined six major credit rating organizations a total of $49 million for their “significant failures” to keep electronic communications. Moody’s ...