SEC

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.

Despite pledges, the IBD network didn’t collect enough data for suitability reviews of the outside transaction for more than five years, according to the regulator.

The revelation is buried in an SEC enforcement action that accused Robinhood of hiding for years how it made the bulk of its revenue.

The popular trading app omitted information about its payment for order flow practice, the regulator says.

The regulation permits more exemptions from fiduciary duties, but may itself be replaced by the incoming Biden administration.

There are still plenty of challenges and potential changes on the horizon. Here’s what to watch for.

Fake name, phony credentials, Ponzi-like payments but real victims — this is what authorities are saying about this business.

Existing regulations that protect investors and deliver clarity to the industry must be preserved by the incoming administration, writes Financial Services Institute CEO Dale Brown.

Five firms agreed to pay $3 million to settle an SEC investigation into unsuitable sales of complex exchange-traded products.

Democrat Joe Biden is expected to name his SEC chairman pick in the coming weeks.

The former U.S. attorney for the Southern District of New York was also once a top aide to Senate Minority Leader Chuck Schumer.

OCIE's recent exam initiative uncovers widespread supervision shortfalls in large, geographically dispersed firms.

With a new administration, the regulator has an opportunity to renew its focus on a key pillar of its mission.

Big changes to regulations and retirement planning could be in the mix following the Democrat’s election victory.