By  Aaron Nicodemus2021-05-06T18:39:00
Aaron Nicodemus2021-05-06T18:39:00
 
      New SEC Chairman Gary Gensler discussed shortening the settlement period for trades and requiring new disclosures by broker-dealers as part of testimony before Congress regarding this year’s GameStop stock surge.
 
                
                2021-07-01T18:19:00Z By Jaclyn Jaeger
The Financial Industry Regulatory Authority ordered Robinhood Financial to pay a record-breaking $70 million in penalties, the result of “systemic supervisory failures in several critical parts of its business.” The firm must retain a compliance consultant, among other enhancements.
 
                
                2021-06-10T19:41:00Z By Aaron Nicodemus
Video game retailer GameStop, whose market volatility earlier this year led the so-called “meme stocks” craze, disclosed it is cooperating with an investigation launched by the Securities and Exchange Commission.
2021-06-10T12:54:00Z By Aaron Nicodemus
When the Dodd-Frank Act passed in 2010, an urgency existed to enact its many provisions. A decade later, 11 of its rules remain unfinished. Will a change in leadership at the SEC get the law across the finish line?
 
                
                2025-10-30T19:39:00Z By Neil Hodge
Companies could face significant compliance challenges in trying to meet new EU legal requirements about how companies share data with third parties.
 
                
                2025-10-27T20:16:00Z By Adrianne Appel
California has delayed the release of draft greenhouse gas reporting rules for businesses until early 2026, the California Air Resources Board said.
 
                
                2025-10-27T19:06:00Z By Neil Hodge
New rules that have recently come into effect across the EU will allow for greater transfers of data between companies, though experts fear the changes could conflict with Europe’s strict privacy legislation, which protects personal information.
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