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SEC moves against conflicts of interest in securitization transactions
Regulator adopts new rule to address conflicts of interest in the asset-backed securities market.
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White House creates cabinet-level supply chain council
Supply chain issues continue to take center stage, as the White House announces a new cabinet-level council focused on the topic.
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Say CAIO to the hottest new compliance role in federal government
US government seeks Chief AI Officers to manage risk while innovating.
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FINRA disciplinary action update #39
Disciplinary decisions issued November 17 – 23, 2023.
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Right-touch regulation can rebuild trust in the carbon removal market
Fresh thinking provides an opportunity to make vital progress in tackling climate crisis.
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FINRA moves to harmonize rules for investment performance data
A targeted exception attempts to improve clarity and reduce regulatory friction and confusion without diluting investor protection.
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Opinion: Is UK an outlier on crypto?
Regular columnist Gavin Stewart considers why divergence may not be as significant as it first appears, but also why it may turn out to be more important.
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Wells Fargo workers file petition with NLRB to join union
Some employees say working conditions and pay concerns at their branches have made them want to unionize.