SEC enforcement

After an initial phase of good-faith exams, regulators expect to see how firms have operationalized those programs.

DaRayl Davis used his clients' money to rent a fancy Hollywood mansion, purchase over $100,000 in airline tickets and pay off massive credit card bills.

The regulator will be stepping up scrutiny of advisors on this issue and others, including ESG and cybersecurity.

So far this month, an average of 99 billion shares in companies that don’t trade on classic exchanges have changed hands each day.

The 33-year-old advisor allegedly spent clients’ money on luxury items and business expenses for his startup.

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

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

“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.

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