Regulation

Two former FINRA employees are joining the fast-growing brokerage app.

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.

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.