The SEC’s books and records rules on retaining communications are outdated, overly broad, and impose strict liability standards t...
CN Editor
October 17, 2025
SEC ISSUES EXEMPTIVE ORDER REGARDING COMPLIANCE WITH CERTAIN RULES UNDER REGULATION NMS
ADVANCING FINRA"S MISSION WITH AI
VICTIMS OF U.S. - BASED DFRF FRAUD CAN SEEK COMPENSATION WITH U.S. AUTHORITIES
ACCEPTABLE INSTITUTIONS AND ACCEPTABLE COUNTERPARTIES DATABASE
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OSC SEEKS TO ENFORCE D&O SANCTIONS
OSC SAYS IT"S CONDUCTING COMPLIANCE EXAMS ON SALES PRACTICES AT BIG 5 FUND DEALERS
FINANCIAL PLANNER LOSES CERTIFICATION OVER DISCRIMINATORY SOCIAL MEDIA POSTS
AS AI TAKES OFF, REGULATORS STRUGGLE TO KEEP UP