By Lori Tripoli2020-01-10T19:17:00
Former Sen. Christopher Dodd and former Rep. Barney Frank, along with other current and former members of Congress, filed an amicus curiae brief siding with state attorneys general in a lawsuit seeking to have Regulation Best Interest vacated.
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2020-06-16T15:46:00Z By Kyle Brasseur
The SEC confirmed the June 30 compliance date for its Regulation Best Interest rule, in addition to sharing a handful of areas that deserve attention when making recommendations to investors in accordance with new policy.
2020-04-03T15:08:00Z By Kyle Brasseur
The Securities and Exchange Commission has no plans to delay its controversial Regulation Best Interest rule despite the impact the ongoing coronavirus pandemic has had on U.S. markets.
2019-09-11T16:59:00Z By Kyle Brasseur
Seven states and the District of Columbia have filed a lawsuit against the SEC in an effort to block the regulator’s recently approved Regulation Best Interest rule package.
2025-12-24T18:45:00Z By Neil Hodge
Europe has been at the forefront of designing strong—but flexible—rules around data use and the safe development of AI, but the EU recently announced plans to simplify some key measures around data privacy and AI governance, which have met with mixed responses.
2025-12-19T20:33:00Z By Aaron Nicodemus
Greg Ruppert, Chief Regulatory Operations Officer at the Financial Industry Regulatory Authority (FINRA), recently shared insights with Compliance Week regarding the self-regulatory organization’s use of Artificial Intelligence in monitoring trends in the market, spotting threats, and keeping its members informed.
2025-12-15T18:04:00Z By Ruth Prickett
European banks and financial institutions must prepare now for stringent new rules on third-party suppliers.
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