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The latest group of firms to be dinged for "off-channel" communications shows encrypted messages remain a source of concern for regulators.
February 12 -
The market-making firm warns of costs and intrusions into investors' privacy.
February 12 -
The emergency rules for brokers operating out of home offices since the pandemic will expire at the end of June.
February 1 -
Some worry chairman's time in office could leave agency weaker than how he found it.
January 19 -
The broker-dealer group is questioning the Department of Labor's plans to replace a simpler rule adopted by the Trump Administration to determine when workers qualify as direct employees.
January 18 -
Industry group warns that the change to employment status criteria could put up further barriers to Americans' obtaining financial planning services.
January 11 -
The broker-dealer industry's self-regulator warns of risks also related to cryptocurrencies and off-channel communications.
January 9 -
In wide-ranging interview, CEO James Gorman warns that proposed banking rules would drive up interest rates for first-time homebuyers.
January 5 -
The broker-dealer self-regulator accused the firm of failing to properly record more than 830,000 transactions, among other violations.
January 2 -
Without inflation adjustments to income and net worth criteria, the number of people who qualify to put their money into sophisticated and risky investments has skyrocketed.
December 28