- Regulation
- Technology
- Resources
Latest News
-
SEC bans ex-Merrill Lynch broker over fake fund scheme
The penalty also highlights the dangers of brokers using unapproved channels to communicate with prospective clients.
-
FINRA industry snapshot 2025 shows firm concentration in size, location
Snapshot provides a high-level overview of FINRA membership; the data is reported in aggregate to respect confidentiality of member firms.
-
US Treasury escalates financial offensive against fentanyl networks
Sanctions against Mexican financial institutions mark a decisive shift toward targeting the financial arteries of the global drug trade.
-
GRIP Extra: House of Representatives bans WhatsApp, Germany plans to ban DeepSeek
Our in-brief roundup of notable stories from last week.
-
OPINION: SEC scraps 14 rule proposals, but don’t be naive
Former SEC regulator Janaya Moscony warns that rule scrapping doesn’t necessarily equate to “a hands off regulator.”
-
SEC withdraws 14 rule proposals
The pending rules would have addressed hot-button regulatory areas like predictive data analytics, climate reporting, and cybersecurity risk management.
-
OPINION: LOLs and liabilities – can investment firms doge the dangers of meme coin investing?
Meme coins like Doge appear to have moved beyond the fringe of internet culture and closer towards the mainstream investment world.
-
SEC confronts non-GAAP disclosures and votes on mandatory arbitration
SEC panel emphasized need for greater transparency in arbitration clauses and stricter oversight of misleading non-GAAP disclosures.