U.S. federal law gives the Securities and Exchange Commission (“SEC”) flexibility when seeking sanctions, including remedies that are tailored ...

T+1 settlement in Europe might be two years away, but market participants should be automating processes and removing ...

FINRA has published the 2025 FINRA Regulatory Oversight Report —a vital information resource comprising observations from ...

"We request SEC and DoL take decisive action to uphold fiduciary duty laws," 22 state financial officers demanded in a letter to acting heads of both agencies.

It has been nearly five years since the US Securities and Exchange Commission (‘SEC’ or ‘the Commission’) adopted Regulation Best Interest (Reg BI) ...

The brokerage industry self-regulator suggests firms review their third-party risk assessments and ensure proper controls ...

Yes, indeed! What Brad Garlinghouse of Ripple Labs called “Gensler’s reign of terror” ended with Securities and Exchange ...

The SEC announced an initiative Tuesday to create a regulatory framework for digital assets with a new internal task force ...

Discusses Treasury regulations for 831(b) microcaptive transactions issued 1/14/2025 re listed transactions and transactions ...

The proposal to enhance transparency and guardrails for new technologies within broker-dealers is likely to be scrapped.

Regulators took the wirehouses to task for not having policies directing advisors to consider clients' best interests.

Bitcoin recently surpassed $100,000 amid optimism about the incoming crypto-friendly administration, though implementing new regulations could still take months. The United States Securities and ...