Brokers and other financial industry groups are fighting an attempt by the SEC and Finra to require the delivery of account statements to clients even when they request they be sent only to third ...

March 11 (Reuters) - An unnamed client of law firm Covington & Burling has dropped its challenge to a subpoena from the U.S. Securities and Exchange Commission, ending a closely-watched fight over law ...

The Securities and Exchange Commission is requiring that many financial advisors be ready to take action if they see their clients may be threatened by identity theft. The new rules apply to financial ...

Sept 18 (Reuters) - The U.S. Securities and Exchange Commission and law firm Covington & Burling on Monday resolved a lawsuit challenging the regulator’s demand for the names of clients caught up in a ...

The law firm rejected the SEC's suggestion of a protective order to protect client names. Now all eyes will be on a judge's upcoming order in the case. The U.S. Securities and Exchange Commission and ...