Equidate, a private-company share marketplace, failed to register security-based swaps that it sold to shareholders in pre-IPO companies.
The SEC says Jonathan Ly made $350,000 in illicit profits by trading on nonpublic information he obtained from Expedia's computers and email accounts.
The new administration's "prioritization of tax reform is potentially a huge plus for the equity markets," S&P says.
Even before he takes the oath of office, President-elect Donald J. Trump is taking a number of bold steps that will shape the future of the economy.
The SEC says Pimco pursued a pricing strategy that misled investors about the initial performance of an exchange-traded fund in 2012.
Should business owners hire a middle market investment banker or are they better off going it alone?
The carmaker is still hoping to return to the bond market as it continues to deal with the fallout from its emissions scandal.
A December rate hike by the FOMC is almost a certainty. Here's how it will affect U.S. profits.
Patrick Carter allegedly misappropriated about half of the more than $30 million that his firm raised from investors between 2009 and 2014.
The consolidated audit trail will track the life cycle of every trade in the markets, accounting for billions of transactions, canceled orders and…