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 ...

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 ...

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 ...

SEC Chair Gary Gensler: “About 20 years ago, the SEC established Exchange Act Rule 10b5-1. This rule provided affirmative defenses for corporate insiders and companies to buy and sell company stock as ...