Tag: SEC

Corlytics, a regulatory intelligence and risk analytics firm, has published its Q1 2026 enforcement report, revealing that global regulators issued approximately $542m in fines...

The compliance landscape is shifting faster than it has in years. At ACA Group's recent spring media roundtable, ACA experts gathered to discuss the...

For anyone working in surveillance, records or risk at an EU-regulated financial services organisation, the past few months have brought a familiar mix of...

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...