As a commissioner at the Securities and Exchange Commission, an important part of my job is protecting investors from the fraudsters who can cause them so much harm. Although swindlers often change their pitch to reflect the day’s most popular trends — cannabis, crypto ...Read More

Wall Street’s new overseer has outlined an aggressive regulatory agenda that threatens to squeeze the financial industry’s profit margins. Securities and Exchange Commission Chairman Gary Gensler is working on tougher rules for high-speed trading firms, private-equity managers, mutual funds and online brokerages. Mr. Gensler, less than ...Read More

There’s something different about the flood of new investors who entered the market in the last 18 months. They are younger, more diverse, use technology to make trades and turn to social media to learn about investing and research investment ideas, a new CNBC/Momentive Invest ...Read More

Few US investors know that the Chinese government doesn’t let foreigners own or invest in many of the country’s companies, SEC Chairman Gary Gensler said on Monday in his most direct warning about US-listed Chinese stocks yet. China-based operating companies establish contracts with shell ...Read More

A prominent investor’s apparent suicide after his financial empire collapsed is being mourned as a Wall Street tragedy. Shortly before 1 p.m. Monday, Charles de Vaulx entered the posh Midtown tower at 717 Fifth Ave. that had long housed the offices of International Value ...Read More

Retail brokerage Robinhood Financial did not report a certain type of stock trade it executed for customers last year to a public data feed, according to regulatory data analyzed by Reuters and a source familiar with the matter. So-called fractional shares are offered by ...Read More