The agency has put new restrictions on a communications channel utilized by climate advocates and other activists.

Opinion: By pairing traditional machine learning for quantitative data with generative AI for complex narrative datasets, the SEC can enhance its market oversight capabilities and better fulfill its ...

On October 2, 2024, the Securities and Exchange Commission (“SEC”) announced it had settled enforcement proceedings against Thrivent Investment Management, Inc. (“Thrivent”), a SEC dually-registered ...

April 3 (Reuters) - A recent audit showed an "elevated" risk of a data leakage from the comprehensive market data surveillance system used by Wall Street's top regulator, according to a watchdog ...

Buffalo, NY – July 31, 2025 – Qwoted Newswire – Compliance Approved, a SaaS compliance automation platform, is transforming how investment firms handle marketing reviews. Designed for SEC-registered ...

GREENWICH, Conn., Nov. 13, 2025 /PRNewswire/ -- DragonGC today announced the beta launch of its 10-K Compliance Check, a breakthrough feature that allows legal and compliance professionals to review ...