Every year, autumn brings hayrides, changing leaves, family gatherings, sweater weather, the chance to savor a cup of black tea by a roaring fire—and a raft of Securities and Exchange Commission (SEC) ...

A trio of enforcement actions brought by the Securities and Exchange Commission in September sounds a warning bell for all companies to revisit their existing employee agreements, being particularly ...

These and other questions illustrate why complying with the U.S. Securities and Exchange Commission’s (SEC/Commission) amended Cybersecurity Disclosure Rule—which was formally adopted one year ago and ...

The revolving door between the U.S. cryptocurrency industry and Wall Street’s top cop has been particularly active this year — a trend that one former SEC lawyer who now defends crypto clients in the ...

In the fast-moving regulatory landscape, taking a proactive approach to regulatory compliance is crucial to long-term success. For investment advisors registered with the Securities and Exchange ...

SEC Problems: More information is emerging on why Democratic commissioner Luis A. Aguilar decided to vote against Securities and Exchange Commission Chairman Mary Schapiro's plan to regulate money ...

At the trial of a Citigroup executive a year ago, Matthew Martens attended as a spectator and watched the defense win jurors over with the “Where’s Waldo” argument. The jury cleared Brian Stoker of ...

The Securities and Exchange Commission's internal watchdog, fresh off issuing a blistering report on how the agency bungled its handling of the Bernard L. Madoff case, offered on Thursday a series of ...

NASHVILLE, Tenn.— Missouri basketball fell short of its goal in the SEC tournament when it lost to Alabama in the semifinals Saturday. Still, the Tigers made their longest conference tournament run ...

Forbes contributors publish independent expert analyses and insights. Bruce makes the law and tax code understandable to everyone. As just about everyone knows by now, investors communicating on the ...