SEC

As lawmakers get ready to grill Equifax CEO Richard Smith and SEC Chair Jay Clayton on Capitol Hill in the coming weeks, many wonder how the respective executives of each organization will be asked to pay for compromising the sensitive information of American individuals and companies.

As lawmakers get ready to grill Equifax CEO Richard Smith and SEC Chair Jay Clayton on Capitol Hill in the coming weeks, many wonder how the respective executives of each organization will be asked to pay for compromising the sensitive information of American individuals and companies.

As consumers struggle to wrap their heads around the Equifax breach that affected 143 million Americans, the SEC announced Wednesday its electronic filing system was breached and one cybersecurity expert says these incidents are just the tip of the iceberg.

The U.S. Securities and Exchange Commission (SEC), Wall Street’s top market regulator and watchdog, said late Wednesday that one of its systems was breached last year, a situation that a cybersecurity expert warns can impact "trillions of dollars."

The U.S. Securities and Exchange Commission (SEC), Wall Street’s top market regulator and watchdog, said late Wednesday that one of its systems was breached last year, a situation that a cybersecurity expert warns can impact "trillions of dollars."

The top U.S. markets regulator said on Wednesday that hackers accessed its corporate disclosure database and may have illegally profited by trading on the insider information stolen.

Regulators must do more to help mom-and-pop investors better understand the potential risks posed by cyber crime and new technologies used to commit fraud.

The Securities and Exchange Commission charged four brokers on Monday with misleading investors near retirement-age, fraudulently persuading them to roll over holdings into higher-fee, variable annuity products.

The Securities and Exchange Commission charged four brokers on Monday with misleading investors near retirement-age, fraudulently persuading them to roll over holdings into higher-fee, variable annuity products.

Wall Street's new top cop is already hard at work.

Wall Street's top regulator said on Thursday it would allow all companies to file paperwork confidentially for initial public offerings (IPO), in a move designed to revitalize the market for share sales.

An investment company is planning to offer a fund that would offer U.S. investors direct access to foreign stocks, while tamping down the risk of currency declines.

An appeals court will weigh whether certain hiring practices at two of the country's top financial market regulators violate the Constitution.

An appeals court will weigh whether certain hiring practices at two of the country's top financial market regulators violate the Constitution.

Federal regulators are investigating whether solar-energy companies are masking how many customers they're losing, according to a person familiar with the matter.

Federal regulators are investigating whether solar-energy companies are masking how many customers they're losing, according to a person familiar with the matter.

U.S. President Donald Trump will order the Treasury on Friday to find and reduce tax burdens and review post-financial crisis reforms that banks and insurance companies have said hinder their ability to do business.

The Supreme Court will hear arguments in a case that has the potential to scale back the Securities and Exchange Commission's ability to recover illegal profits.

The Supreme Court will hear arguments in a case that has the potential to scale back the Securities and Exchange Commission's ability to recover illegal profits.

Capitol Hill is gearing up for a clash of historic magnitude over President Donald Trump’s Supreme Court nominee Judge Neil Gorsuch.