The SEC awarded nearly $1 million to a whistleblower for coming forward with information that led to multiple SEC enforcement actions.

Please enjoy this playlist in honor of a true pioneer.

SEC Enforcement Director Andrew Ceresney will leave the SEC by the end of this year.

NASAA requested comments on a proposed model statute and model rule that would permit "testing the waters" in Tier 1 offerings conducted under Regulation A of the Securities Act.

The CFTC Division of Market Oversight released the results of a rule enforcement review of ICE Futures U.S. and found that, with the exception of one deficiency, ICE has an adequate trade practice surveillance program.