SEC

While getting a rules overhaul through a bitterly divided Congress won’t be easy, analysts, consumer advocates and experts say changes may be on the table.

The troubled alts manager’s charges will trigger many more arbitration proceedings and potential regulatory cases, plaintiff attorneys say.

The Silicon Valley startup left users fuming by temporarily restricting certain purchases at the height of January’s mania over GameStop.

If approved, the vehicle will focus on acquisition targets in the consumer or retail industries, according to the prospectus.

Known primarily from his decades-long MLB career, Alex Rodriguez is joining a roster of wealthy celebrities backing blank-check companies.

Following through on its staged approach to new advice standard, industry regulator expected to be less patient with the "laggards."

Wealth managers acting as “downstream broker-dealers” allegedly made $187 million in commissions and other selling fees on GPB Capital investments.

In the new Form CRS, firms must justify whether they place client assets in advisory or broker accounts.

Consumer advocates are calling for Gary Gensler to toss out Reg BI as wealth managers aim to keep the prior administration’s rule in place.

The recent tumult involving GameStop and Robinhood has raised questions about whether broader risks for the financial system are brewing.

Regulators and Washington policy makers are sure to up scrutiny once the dust settles on the market turmoil that has buffeted GameStop and others.

A dead client, an advisor accused of murder and fraud, and an industry that didn’t see it coming.

The looming threat for Biden’s SEC pick is that the good times could end on his watch, triggering a crash that hits retail investors who’ve contributed to the boom.

Jacob Glick is accused of breach of fiduciary duty and misappropriating client funds, among other alleged misconduct.

President Biden has picked Allison Herren Lee, a member of the Securities and Exchange Commission, as the acting chair of the SEC, as nominee Gary Gensler waits in the wings as a more permanent chair once he is confirmed by the Senate.

The pending nominations send a clear signal that the rule-cutting and lax enforcement the industry has grown accustomed to under President Trump are over.

Biden's expected nomination for chairman is known for pushing back at banks and corporations in search of greater investor protections.

“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.