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A new report finds that contract clauses forcing investors' cases into private forums too often stack the deck in favor of firms.
December 5 -
Amid industry crackdown, some say they are beginning to see a way forward for digital asset firms that want to stay on the right side of the law.
December 1 -
A lawyer representing hedge fund manager George Jarkesy argues the dispute could be solved simply by letting defendants choose to take their cases to regular courts.
November 29 -
The broker-dealer regulator's proposal would fall in line with similar leeway granted to advisors under the SEC's marketing rule.
November 21 -
The proposals would let firms sign up for a pilot program to test remote branch inspections and require less frequent in-person exams of supervisors' home offices.
November 20 -
In a letter, 18 financial services organizations note the Biden Administration had nearly three years to formulate its proposal for retirement advisors. But they get only 60 days to comment.
November 9 -
The policy change is meant to give others in the industry insight into what drives its ethics and compliance decisions.
November 9 -
NASAA, PIABA and stock exchanges argue the demise of the self-regulator would leave an unfillable hole in securities regulation.
November 6 -
Legal experts think these challenges to the agency's constitutionality, virtually unthinkable a decade ago, now have a chance of success.
November 1 -
Chairman Gary Gensler draws attention to high-profile cases over WhatsApp and other messenger communications as well as the need for crypto regulation.
October 26