Regulation and compliance
Regulation and compliance
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A newly proposed rule would require firms to verify customers' ID information and check it against government lists of terrorists and criminals.
May 13 -
The Internal Revenue Service issued the annual inflation adjustments for health savings accounts in 2025 as prices continue to rise.
May 9 -
The once-discraced firm has benefited from the recent strong rallly in cryptocurrencies.
May 8 -
The SEC's guidance is a part of a much broader movement as the U.S. strives to catch up with Europe.
May 8 -
Sixteen advisors argue the megabank owes them more than $270 million over false promises they were made when being recruited.
May 7 -
As it and other critics pursue a coordinated legal strategy, a trade group for independent insurance agents requested an injunction to put the regulation on hold.
May 3 -
The banking giant has already settled two other similar disputes with regulators.
May 2 -
The self-regulator has stressed a shift away from mere compliance and toward active self-surveillance to uncover improper off-channel messaging.
May 2 -
Advisor advocates say they are beginning to look to civil courts and other FINRA alternatives to get erroneous customer complaints removed from their clients' online records.
May 1 -
The text reveals why agency officials believe it's necessary, how it will work in practice, how much it will cost and how it responded to criticism.
April 30