U.S. federal law gives the Securities and Exchange Commission (“SEC”) flexibility when seeking sanctions, including remedies that are tailored ...

A recent complaint by the Securities and Exchange Commission against the chief compliance officer of a Chicago-based ...

Key issues to consider before entering into a settlement with a securities regulator, including the scope of the regulators’ ...

Some Wall Street analysts, including the team at Truist Securities, feel that this positive ... in a stock’s value and dividends. For example, if you buy a stock at $20 that pays a 3% dividend ...

This is another great example of the SBA ... Institutional Investors Momentus Securities is an investment bank with a social purpose, an SEC-registered broker-dealer, FINRA/MSRB/SIPC member ...

Investors make millions of online stock trades each day. But have you ever thought about how online stock trading works? Once you hit enter on an order to buy or sell a stock, what happens next? There ...

a member of the North American Securities Administrators Association (NASAA), has joined a $17 million settlement with Edward D. Jones & Co., L.P. (Edward Jones) after an investigation into the broker ...

Joseph Nguyen is a contributing author at Investopedia and a research analyst with experience at a securities brokerage ... from broker-dealers to RIAs. She is a current CFA level 3 candidate ...

It is no secret that ransomware dominates headlines, and cybersecurity incidents have become part of our everyday language. However, the ...