MiFiD II Org Reg, Art 72

The SEC Division of Examinations published Rule 17Ad-17 examination results for registrants to consider when assessing compliance.

The agency is the latest to drop the doctrine pursuant to a 2025 Trump executive order.

The rules would let banks share some sensitive information without prior OCC approval.

The SEC will pay Coinbase $150,000 after the crypto exchange’s FOIA request revealed deleted agency texts.

The records and information management expert talks about how energy firms and other highly regulated businesses create, maintain, and legally dispose of records throughout their lifecycle.

Agency said reporting requirements for large swap positions were redundant because of myriad other data collection rules on the books.

FINRA has advanced two major proposals amending the rule on communications with the public, articulating a risk-based framework for communication review.

A synopsis of views and advice on current trends, regulatory supervision, and some practical solutions to the latest challenges.