Regulatory reform

New requirement calls on firms to report hacks within four days of deciding that the attacks are of material interest to shareholders.

Electronic messaging, Reg BI, crypto and fraud all appeared at the top of regulators' agenda this past year.

The doubts raised over the broker-dealer self-regulator's authority come amid a general questioning of the federal government's oversight powers.

A new report finds that contract clauses forcing investors' cases into private forums too often stack the deck in favor of firms.

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.

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.

The broker-dealer regulator's proposal would fall in line with similar leeway granted to advisors under the SEC's marketing rule.

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.

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.

The policy change is meant to give others in the industry insight into what drives its ethics and compliance decisions.