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The CAT is in danger, says Barron’s
The Consolidated Audit Trail (CAT) is a powerful tool to detect market manipulation, but the industry is complaining about skyrocketing costs.
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NASAA adopts model rule update to incorporate Reg BI at state level
The model rule significantly scales back a version from 2023 that industry participants said created new compliance obligations.
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SIFMA C&L 2025 Recap: The future of US state regulation
Federal financial markets regulation is being relaxed. Will the states take up the slack?
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SIFMA C&L 2025: Panel discusses cyber risks and regulatory trends
Cyber threats are on the rise, but the SEC has signaled that it will backtrack on enforcing cybersecurity disclosures.
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SIFMA C&L 2025: Mapping the future of financial markets regulation
We kick off coverage of the recent SIFMA C&L conference with a report on SEC Acting Chair Mark Uyeda’s opening remarks.
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SIFMA Annual 2024: Penny Pennington on the future of financial advice
The first in a series of reports on keynote speeches at the SIFMA Annual in New York.
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SEC Chair highlights competition in capital markets in speech
Thought-provoking remarks following the speech suggest treasury market reform a key focus for the SEC, while books and record requirements remain non-negotiable.
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Anti-ESG push suffers setback as federal court judges Missouri investment rules unconstitutional
The rules were enjoined on First Amendment, unconstitutional vagueness, and federal preemption grounds.