The SEC’s books and records rules on retaining communications are outdated, overly broad, and impose strict liability standards t...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
SIFMA SUBMISSION TO HOUSE FINANCIAL SERVICES COMMITTEE ON CAPITAL PROPOSALS
SEC SECURES SANCTIONS AGAINST "SHAM" ADVISORS
NYSE SEEKS APPROVAL FOR TOKENIZED TRADING
SEC AND CFTC JOINTLY PROPOSE AMENDMENTS TO REDUCE PRIVATE FUND REPORTING BURDENS
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BIG SIX AGREE ON THIRD-PARTY RISK MANAGEMENT COMPLIANCE FRAMEWORK
HOW FIRMS CAN USE AI IN A RESPONSIBLE, COMPLIANT WAY
ADJUDICATOR IN OSC VS. PURPOSE CASE STEPS DOWN
GUIDANCE ON TRADING SUPERVISION OBLIGATIONS