Tag: SEC

Corlytics, a regulatory intelligence and risk analytics firm, has published its Q1 2026 enforcement report, revealing that global regulators issued approximately $542m in fines...

The compliance landscape for investment managers is shifting faster than it has in years. At ACA Group's recent spring media roundtable, the firm's experts...

If you work in surveillance, records or risk at a financial services firm operating in or adjacent to the EU, you have probably spent...

When a newly registered representative joins a broker-dealer firm, the compliance clock starts ticking immediately. In many organisations, it can take two to three...

AI has rapidly become one of the most consequential technologies reshaping modern financial services. According to ACA Group, yet for investment advisers, adopting AI...

Something significant happened at NYU Law School on 31 March 2026. David I. Miller, the newly appointed director of enforcement at the Commodity Futures...

A recent US Securities and Exchange Commission (SEC) settlement with a Florida-based investment manager is serving as a reminder to the asset management industry,...

The US Securities and Exchange Commission (SEC) approved amendments to FINRA's Rule 3220 in February 2026, raising the annual gift limit from $100 to...

The SEC has imposed a $9m civil penalty on the New York Stock Exchange (NYSE) after a technical failure disrupted the opening auctions of...

The Securities and Exchange Commission Division of Examinations has published its Fiscal Year 2026 Examination Priorities, offering a clear indication of where regulatory attention...