U.S. Securities and Exchange Commission

Fuel cell maker Plug Power announced Tuesday that it is restating financial statements for the past three years. The stock has taken the predictable beating.
Social media has been a huge factor in trading recently with Reddit's WallStreetBets and the GameStop trade. However, one California trader took this to the extreme and allegedly committed massive...
The SE) recently came down on AT&T and its investor relations department in particular.
The SEC moved quickly and decisively earlier this week when it filed an emergency action and obtained an order imposing an asset freeze and other emergency relief against Virgil Capital and its...
The U.S. SEC has approved new rules to make it possible for privately held companies to issue new stock in a direct listing IPO. This has big implications for investment banks and, perhaps, SPACs.
Robinhood has been a source of controversy on Wall Street for years now, and this is all coming to a head with the most recent charges from the SEC.
Receiving a “Wells notice” from the Securities and Exchange Commission is never deemed to be comforting news for shareholders. In the case of General Electric Company (NYSE: GE), there...
The risks of cyberattacks on stock exchanges, banking systems and global financial systems are not new. If targets are lucky, they are only targeted for cyber theft.
The SEC on Wednesday announced looser qualifications necessary to become an accredited investor eligible to invest in private markets where the rewards may be higher and the risks certainly are.
It appears that the regulators have decided to go after the United States Oil Fund, the so-called Oil ETF.
Ford has filed a preliminary prospectus for three senior unsecured note offerings to raise more cash. This is the company's first offering since its debt was downgraded to junk last month.
Luckin Coffee shares cratered on Thursday after the company announced that it has formed a committee of three independent directors to investigate internal misconduct.
It is becoming increasingly obvious that traditional fiscal policies from central banks just aren't adding up to be enough to stop the economy from moving rapidly from a raging bull market into a...
The SEC has issued a concept document that explores opening hedge funds and private equity funds to small retail investors.
Brokerage firms with a history of misconduct or that employ a high number of brokers and advisors with red flags may about to face even more regulatory scrutiny. FINRA has requested a comment period...