Robinhood to Pay $45 Million to Settle SEC Charges January 14, 2025 Online trading firm Robinhood Markets has agreed to pay $45 million to settle U.S. Securities and Exchange Commission charges over...
States Take Aim at SEC’s New Broker-Dealer Adviser Rule September 11, 2019 By Erik Larson New York and a half dozen other states accused the Securities and Exchange Commission of botching a final regulation intended...
Securities Regulator OKs Schwab Ban on Class Actions by Clients February 21, 2013 By Jed Horowitz Charles Schwab Corp. can ban its clients from bringing class action lawsuits, a securities industry regulatory panel ruled Thursday in...