Tag: SEC

When a newly hired registered representative joins a broker-dealer firm, the compliance clock starts ticking immediately. In most firms, it can take two to...

Artificial intelligence has rapidly emerged as one of the most transformative forces in modern financial services. Yet for investment advisers, embracing AI is far...

Something significant happened at NYU Law School on 31 March 2026. David I. Miller, the newly appointed director of enforcement at the Commodity Futures...

The US Securities and Exchange Commission (SEC) has settled with a Florida-based investment manager over fraud and misleading investor disclosures, serving as a stark...

The opening months of 2026 have sent a clear message to financial services firms: regulatory momentum is not letting up. As artificial intelligence becomes...

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...