The Securities Exchange Act was signed on June 6, 1934, and created the Securities and Exchange Commission (SEC). It was then-President Franklin D. Roosevelt’s response to the original problem ...

It's a recurring theme at this point of the season, but one that was reaffirmed this past week, with some of the biggest games in the sport taking place in the SEC footprint. Need a break?

Lew didn’t reply to a message seeking comment. Lew, who has 18 years of industry experience and worked at BMO for six years, is cooperating with the investigation and contests the SEC’s allegations, ...

Bank of Montreal dismissed a managing director on its US mortgage-backed bond desk in connection with a regulatory probe into misleading marketing practices. Doo Sik Lew was discharged last month ...

Aaron Brown is a former head of financial market research at AQR Capital Management. He is also an active crypto investor, and has venture capital investments and advisory ties with crypto firms ...

However, the SEC has not launched a case against Mr. Lew. The FINRA disclosure says the SEC said its allegations against Mr. Lew were connected to an investigation of potentially deceptive ...

The Securities and Exchange Commission (SEC) has issued a strong warning to Nigerians against investing in Risevest (Victoria Island) Cooperative Multipurpose Society Limited and Stecs (Alausa) ...

Grayscale files with the SEC for Litecoin, Solana, and three other crypto ETF products amid increasing industry competition. The firm’s Litecoin ETF marks only the second such filing, following Canary ...

Jeffrey Finnell’s appointment as the SEC’s new acting general counsel was announced Friday, alongside a slate of officials to fill out top positions at the agency. Finnell has more than 23 ...

The US Securities and Exchange Commission (SEC) has announced the withdrawal of a contentious accounting framework that imposed stringent disclosure requirements on financial firms holding ...

It's a rare occurrence and one that has sparked a wider debate. After decades of living under the unrelenting tyranny of the SEC, has the Big Ten overthrown the college football monarchy?

The SEC was conspicuously absent from Monday night’s College Football Playoff national championship game. But the conference is all over the first USA TODAY Sports edition of bracketology for ...