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In Regulatory Notice 24-09, FINRA points out that its rules are intended to be technology neutral and that firms must remain compliant when leveraging new technologies.
This dispatch from the recent XLoD event in NY includes best practice tips in ecomms, trade data capture, and using AI effectively.
Discussions of enterprise risk management, surveillance technology, and market abuse feature in the first of two reports.
Suit follows refusal by the SEC to disclose its enforcement records in response to a FOIA request.
Three of Wall Street’s biggest PE firms are negotiating settlements with the SEC over their employees’ use of banned communication channels.
BF Borgers and owner Benjamin Borgers charged by the SEC in case affecting more than 1,500 SEC filings.
Rob Mason and John “Jack” Castonguay discuss recent and some years-old exam-cheating allegations at big audit firms.
Assessing amendments to the regulation on wholesale market integrity and transparency.