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A hedge fund advisory firm and a senior research analyst agreed to settle SEC charges that they failed to detect insider trading conducted by one of the firm's employees.

There is little guidance about whether and how an executive who has compensation clawed back can take a tax deduction for the amount repaid.

Last year, Saba Software, the two vice presidents that were responsible for the improper accounting practices and the CEO reached settlements with the SEC.

Amidst the flurry of Securities and Exchange Commission cases involving improper employee stock option backdating several years ago, many commentators opined on the potential insider trading implications of companies’ issuance of stock options to officers and directors.

The penalties for compliance missteps have never been higher — particularly in the international regulatory context.

The SEC Office of Investor Education and Advocacy and FINRA urged investors to add a "trusted contact person" on brokerage accounts to protect against fraud.

Signed by Gov. Jerry Brown on Sept. 23, Senate Bill 538 overhauls the anti-fraud provision of the California Securities Law of 1968.

The SEC recently announced an action where the promoter allegedly told investors that the 2012 JOBS Act would allow his fund to raise billions of dollars by advertising to the general public and produce large profits for early investors.

The SEC charged a former employee with securities fraud.

The former mayor of Markham, Illinois partially settled fraud charges relating to an alleged "pay-to-play" scheme in connection with a municipal bond offering.

The SEC filed a Complaint against Tesla Chief Executive Officer Elon Musk for making a series of allegedly false and misleading statements on Twitter about a potential transaction to take the company private.

The SEC’s Enforcement Division will shift resources to some dormant and some new areas of possible noncompliance.

Chairman Jay Clayton's vision for the Securities and Exchange Commission has largely shaped the first half of 2018

The SEC obtained a court order halting an ongoing fraud involving an initial coin offering that had raised up to $21 million from investors inside the U.S. and abroad, along with an emergency asset freeze...

The SEC's whistleblower office reported 3,923 tips in the last fiscal year, resulting in $37 million in awards for reporting securities violations.

Additionally, the OIEA asked that market participants submit any information regarding suspected securities fraud or wrongdoing to the SEC's website.

"Hard questions are ahead for lawmakers and lawyers in the telecommunications industry, experts say, and the potential answers are top-of-mind for tech companies' in-house lawyers."

The U.S. Court of Appeals for the Sixth Circuit affirmed a dismissal of investors’ securities claims in the wake of a bank liquidation.