- Regulation
- Technology
- Resources
Latest News
-
What happens when marketing meets compliance
Lessons from the SEC’s first Marketing Rule case.
-
GRIP Extra: Newsom signs AI transparency bill, ESMA publishes 2026 work program
Our in-brief roundup of notable stories from the last week.
-
Recap: SEC–CFTC joint roundtable on regulatory harmonization efforts
The SEC and CFTC recently convened a joint roundtable in Washington, D.C. to address how to modernize oversight between America’s financial markets regulators.
-
NYC Global Regtech Summit 2025 recap
Discussion highlights include execution gaps, shifting compliance roles, and emerging global risks.
-
SEC seeks comment on rules over residential mortgage-backed securities
The SEC asked Wall Street for feedback on the current regulatory regime around residential mortgage-backed securities, hoping to revive the market.
-
OPINION: Will the next financial crisis be the crypto crash?
Is the wider adoption of digital assets into mainstream investment activity – including retirement plans – a case of history echoing?
-
FINRA to revise day trading to attract more retail investors
Going to the SEC for approval are also proposals for revised corporate financing rules, outside activities requirements, and an increase to the gift limit.
-
Bloomberg hit with $5m penalty over data delay misstatements
The broker-dealer's conduct was found to violate Section 17(a)(2) of the Securities Act.