The basic conundrum: If the SEC makes its rules harsher, it puts itself at a competitive disadvantage. But if the SEC is ...

President Trump has said that public companies should have to report earnings only twice a year.

Industry group says $1B AUM line reflects inflation, rising regulation, and evolving advisory business models.

SEC Commissioner Hester Peirce says that the regulator’s proposal of update its definition of a “small” advisory firm will give it a much more accurate view of a wide swath of the industry. The move ...

Two of the most powerful financial regulators in the United States have signed a new agreement aimed at reducing confusion ...

SEC commissioner Greg Sankey called NCAA language covering tampering rules "archaic," but stopped short of urging the oversight body to halt tampering investigations, the way the Big Ten did earlier ...

Judge Margaret Ryan’s departure comes a month after she decried rumors that the SEC’s enforcement arm was falling short amid ...

SEC Commissioner Hester Peirce urges firms exploring tokenization and crypto ETFs to engage regulators and discuss compliance ...

A former senior Securities and Exchange Commission enforcement official told lawmakers Tuesday that the agency has “lost its way” on fairness in recent years and must adopt formal internal safeguards ...

In what may be indicative of the Securities and Exchange Commission’s renewed focus on small business capital formation, one of the topics that the staff (the “Staff”) of the Commission’s Division of ...

Early crowdfunding often broke securities laws due to unregistered offerings. In 2015, the SEC's Regulation Crowdfunding (Regulation CF) addressed this, stemming from the JOBS Act. It provides an ...