A former higher-up in the U.S. Securities and Exchange Commission is now a part of the Dallas-based Texas Stock Exchange's ...

Sen. Elizabeth Warren (D-Mass.) on Wednesday plans to lay out her own “principles” for legislation creating regulatory rules ...

The U.S. Securities and Exchange Commission (SEC) is once again considering a proposal that could exempt certain individuals—known as “finders”—from broker registration requirements when helping small ...

The SEC got a reprieve to pursue a review of its controversial market surveillance system after a federal judge in Texas ...