Regulation

After serving 18 months in jail, Craig Rothfeld knew “other people would need help too.”

Regulatory relief applies to advisors and investment funds but the commission stresses that fiduciary obligations still apply.

“Americans need to know they have access to their money," Treasury Secretary Steven Mnuchin said.

Some attorneys say it's welcome relief, but how long will it take to get new hearing dates?

After resigning last year under pressure from federal policymakers, the former executive received no severance benefits or annual incentive award.

The VanEck fund’s sell-off was so violent that it triggered the SEC’s alternative uptick rule.

“This is a demand and supply shock,” Jay Clayton said, adding that he’s concerned businesses might not have access to all the credit they need.

Senior officials are growing wary of how firms are trying to recoup revenue amid the "race to zero" commissions.

The regulator is giving firms more flexibility in supervising employees working remotely and in relocating personnel to temporary locations.

Even with staff working from home, the agency “remains able and committed to fully executing its mission," the SEC said.