Regulation

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

The firm’s use of third-party compliance vendors came under scrutiny after an ex-rep pleaded guilty to bilking clients out of $5 million.

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.

In the first wave of cases under the regulator’s self-reporting initiative, it garnered more than $2.7 million in payments of restitution plus interest.

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 worst fiscal crisis in decades is pitting U.S. states against one another over billions in taxes from residents working from home.

The wealth manager whose parent firm also owns an insurer and asset manager settled its third case involving the same time period.

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