There was a time years ago when the only people able to trade actively in the stock market were those working for large financial institutions, brokerages, and trading houses. The arrival of online ...

US regulators are finalizing plans to replace a controversial rule that would dramatically lower a threshold for retail investors to trade equities and options more often. The Financial Industry ...

On December 15, 2021, the Securities and Exchange Commission (“SEC”) proposed amendments to Rule 10b5-1 under the Securities Exchange Act of 1934 (the “Exchange Act”). Comments to the proposal are due ...

Day trading is a fast-paced form of stock trading where shares are bought and closed within the same trading day, often within hours or minutes and sometimes within seconds. This strategy is focused ...

Abuses of 10b5-1 plans, which are supposed to help prevent insider trading, have led the SEC to tighten the rules. Insider trading is a notorious form of white-collar wrongdoing that most people are ...

Insider trading prohibitions evolved from case law interpreting the anti-fraud provisions of the federal securities laws. These provisions prohibit trading securities on the basis of material ...

Apps like Robinhood may have to regulate predictive analytics used to encourage trading Chip Somodevilla / Staff / Getty Images The U.S. Securities and Exchange Commission (SEC) enhanced rules ...