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NASAA adopts model rule update to incorporate Reg BI at state level
The model rule significantly scales back a version from 2023 that industry participants said created new compliance obligations.
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SEC Acting Chair Mark Uyeda on priorities with state security regulators
Uyeda addressed federal preemption issues and the division of jurisdiction between the SEC and states.
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CFTC’s Johnson highlights cyber collaboration amid NIST, CISA cuts
Staff reductions at NIST and CISA raise some concerns about cohesive cybersecurity collaboration.
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SIFMA C&L 2025 Recap: The future of US state regulation
Federal financial markets regulation is being relaxed. Will the states take up the slack?
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House reintroduces bill allowing RIAs to transmit electronic documents by default
The Improving Disclosure for Investors Act has bipartisan support.
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SIFMA C&L 2025: Panel discusses cyber risks and regulatory trends
Cyber threats are on the rise, but the SEC has signaled that it will backtrack on enforcing cybersecurity disclosures.
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SIFMA C&L 2025: Mapping the future of financial markets regulation
We kick off coverage of the recent SIFMA C&L conference with a report on SEC Acting Chair Mark Uyeda’s opening remarks.
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Risk as a catalyst: PwC’s Tiffany Gallagher on healthcare compliance innovation
How rapid tech advance has changed healthcare’s compliance landscape.