By
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.
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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?
2026-04-03T18:20:00Z By Ruth Prickett
On Oct. 11, 2027, the EU, U.K., and Switzerland will move to T+1 securities settlement. The date may seem distant, but the challenges are considerable.
2026-04-03T17:33:00Z By Neil Hodge
The U.K.’s plans to revise how companies report more meaningfully on the impact their operations have on the environment will mean organizations will have to dig for better data to satisfy regulators—even if they decide that compliance with the proposed rules is not appropriate for them under the option of ...
2026-04-02T19:12:00Z By Neil Hodge
The European Union’s key data privacy regulators have said that they support streamlining compliance and reporting requirements under plans to beef up cybersecurity across the 27-nation bloc.
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