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On the eve of Valentine’s Day, regulators warn of romance-driven scams
As Valentine’s Day approaches, several US regulators are confronting a costly form of fraud.
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Atkins glosses SEC agenda in House speech
The SEC chief touched on his plans to “Make IPOs great again,” review the costs of the Consolidated Audit Trail and PCAOB, and support crypto clarity.
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SEC tackles active ETFs and fund merger fees
DERA's chief economist Joshua White said active ETFs now "rival passive funds in number" and represent a "shift toward more actively managed strategies."
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SEC says ADM executive engineered accounting to preserve a growth story
The SEC emphasized ADM’s cooperation in resolving the matter.
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SEC’s Daly mulls strategy for e-delivery, recordkeeping clarity, and AI as firms automate
“What if we reimagined disclosure using large language models?”
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FINRA fines Benjamin Edwards $750k for ecomms recordkeeping failures
FINRA noted the case involved "at least 3,560 text messages" about firm business, including sensitive personal information and investment advice.
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Atkins and Selig discuss joint crypto regulatory plans
The Chairmen of the SEC and CFTC discussed how they could best coordinate regulation of digital assets as Congress scrambles to finalize legislation.
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SEC’s Regulation S-P outreach puts small firms on notice
Through its dedicated outreach program the SEC offered small firms the clearest indication yet on how compliance with the 2024 Regulation S-P amendments will be examined.