SEC

“The sheriff is coming to the preeminent financial regulator in the world,” said Justin Slaughter, a consultant at Mercury Strategies. “It means regulation and enforcement are about to get much tougher.”

The work-from-home phenomenon has triggered a fresh frustration for U.S. corporations: Americans are blowing the whistle on their employers like never before.

If confirmed by the Senate, the former CFTC chairman would be the new administration’s front-line regulator for Wall Street.

The move is about “expanding access to high quality growth investing to non-accredited investors,” says Upholdings CEO Robert Cantwell.

VanEck’s proposal comes at a time when the cryptocurrency has continued to set record highs.

Long-awaited advertising regulations allow for online testimonials but also increased risk of audits, observers and commissioners say.

SEC cases that go beyond faulting firms for their failure to disclose conflicts of interest have drawn pushback from the industry.

Attorneys, compliance experts and marketers weigh in on the regulator’s first update to advertising compliance in decades.

The allegations involving 12b-1 fees, cash sweeps and commissions also include violations of best execution rules.

“We look forward to our day in court and will not be bullied by the regulatory thugs at the SEC," the firm's co-founder says.