Tag: SEC

For the first time in more than three decades, FINRA has raised the annual gift limit under Rule 3220. The Securities and Exchange Commission...

The US Securities and Exchange Commission (SEC) has imposed a $9m civil penalty on the New York Stock Exchange (NYSE) following a trading malfunction...

The U.S. Securities and Exchange Commission has unveiled its Fiscal Year 2026 Examination Priorities, and while the language may appear measured, the message to...

As prediction markets continue to move from niche experimentation into mainstream financial discourse, they are creating a new set of challenges for regulators and...

Zeidler Group said the SEC’s latest Marketing Rule FAQs, released last Friday, are a targeted clarification rather than a market-moving shift, and warned asset...

Financial services firms are moving quickly to adopt AI note-taker tools because they make meetings easier to document and knowledge easier to share. But...

Crypto is increasingly being treated like a mainstream asset class, and with that shift comes a tougher, more formal approach to regulatory compliance. According to...

Financial advisors sit in one of the most heavily regulated corners of financial services, and the job is getting harder as client expectations rise,...

Email remains one of the most closely scrutinised forms of business communication across regulated industries. From client correspondence and contractual negotiations to internal approvals...

Investment managers are entering 2025 facing a more demanding compliance environment, shaped by heightened regulatory scrutiny and rising expectations from institutional clients. According to...