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Collaboration is key to the effort since there “is no competitive advantage to be the only firm engaged in data protection."
April 13 -
Merrill Lynch, UBS and others made considerable alterations to policies and procedures in order to be compliant with the Labor Department regulation.
March 19 -
Focus turns to the SEC as it considers creating its own higher standard of client care.
March 15 -
With the SEC and Labor Department rethinking their approach to a higher standard, a court's recent ruling may not have a lasting impact.
March 14 -
The industry has resisted the SEC’s Consolidated Audit Trail surveillance system ― dubbed CAT ― in its current form based on cybersecurity concerns.
December 13 -
The regulation's enforcement provisions will not take effect until July 1, 2019, the Labor Department said.
November 27 -
Exchanges are required to begin feeding trading data into the Consolidated Audit Trail on Wednesday.
November 15 -
The department's proposal furthers efforts to undo the controversial regulation.
November 2 -
Speaking to hundreds of industry executives, Jay Clayton said his agency can't simply supplant the Department of Labor.
October 26 -
The change could alleviate firms’ recruiting worries that they must pay trainees to spend the first few months studying.
October 6