Broker-dealer
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CIRO advances phase 2 of its UMIR Guidance Update Project
The guidance clarifies trading rules expectations without imposing additional obligations.
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BaFin calls contingency planning and stress testing critical
The regulator’s supervisory statement seeks to clarify its expectations of brokers in connection with client securities trading during times of market turbulence.
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SEC bans ex-Merrill Lynch broker over fake fund scheme
The penalty also highlights the dangers of brokers using unapproved channels to communicate with prospective clients.
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FINRA industry snapshot 2025 shows firm concentration in size, location
Snapshot provides a high-level overview of FINRA membership; the data is reported in aggregate to respect confidentiality of member firms.
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US Treasury escalates financial offensive against fentanyl networks
Sanctions against Mexican financial institutions mark a decisive shift toward targeting the financial arteries of the global drug trade.
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GRIP Extra: House of Representatives bans WhatsApp, Germany plans to ban DeepSeek
Our in-brief roundup of notable stories from last week.
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OPINION: SEC scraps 14 rule proposals, but don’t be naive
Former SEC regulator Janaya Moscony warns that rule scrapping doesn’t necessarily equate to “a hands off regulator.”
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SEC withdraws 14 rule proposals
The pending rules would have addressed hot-button regulatory areas like predictive data analytics, climate reporting, and cybersecurity risk management.