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Biden's expected nomination for chairman is known for pushing back at banks and corporations in search of greater investor protections.January 15
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“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.”January 14
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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.January 13
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Long-awaited advertising regulations allow for online testimonials but also increased risk of audits, observers and commissioners say.December 30
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SEC cases that go beyond faulting firms for their failure to disclose conflicts of interest have drawn pushback from the industry.December 30
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Attorneys, compliance experts and marketers weigh in on the regulator’s first update to advertising compliance in decades.December 24
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The allegations involving 12b-1 fees, cash sweeps and commissions also include violations of best execution rules.December 23
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“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.December 23
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The revelation is buried in an SEC enforcement action that accused Robinhood of hiding for years how it made the bulk of its revenue.December 18
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Fake name, phony credentials, Ponzi-like payments but real victims — this is what authorities are saying about this business.December 3
