Regulatory reform

It's cheers for pro bono advisors and people working to diversify the industry, and jeers for planners who defraud the elderly and big firms that let their regulatory responsibilities slip.

Industry watchdogs weren't concerned only about hot topics like artificial intelligence and cybersecurity but also remote work policies and the ability of brokers to clear their names.

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.