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Latest News
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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.
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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.
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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.
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FCA calls for a fair redress scheme in UK motor finance case
Regulator in a difficult position as it tries to strike balance between customer protection and market stability.
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FINRA penalizes broker-dealer firm for social media, finfluencer missteps
FINRA alleged that influencers’ communications were not fair and balanced and included misleading or unwarranted statements.
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Stephen Luparello appointed as new OCC chairman
Luparello has previously worked for Citadel Securities, the SEC, WilmerHale and FINRA.
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AI use widespread in capital markets according to IOSCO report
Internal productivity, AML/CFT and market analysis and trading insights found to be most common use cases.
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IOSCO highlights conflicts of interest as key risk for online brokers
The consultation report also draws attention to increased trading frequency as well as potentially opaque fee structures.