SEC

SEC scolds Schwab over robo disclosures

Firm touted lack of fees while making money on investors' cash holdings

By James Langton |June 13, 2022

2 min read

SEC seeks level playing field for retail investors

Regulator to consider sweeping market structure reforms

By James Langton |June 8, 2022

2 min read

Broker sanctioned over meme stock misdirection

Firm deceived investors about trading halt, SEC alleges

By James Langton |May 25, 2022

1 min read

Allianz Global pays US$6 billion to resolve fraud charges

Fund managers hid risk of complex trading strategy that blew up in March 2020

By James Langton |May 17, 2022

3 min read