By Joe Mont2017-08-01T10:15:00
Developed as a database to monitor markets and prevent flash crashes, the SEC’s consolidated audit trail has a big, new roadblock.
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2017-09-26T10:15:00Z By Joe Mont
A breach disclosure by the SEC does the agency no favors as it prepares to dig deep into data troves for market surveillance.
2026-02-05T23:12:00Z By Adrianne Appel
The Financial Industry Regulatory Authority (FINRA) has welcomed artificial intelligence (AI) with open arms—and also caution.
2025-11-07T22:18:00Z By Adrianne Appel
First Trust Portfolios has been fined $10 million by FINRA for allegedly providing excessive meals, gifts, and other incentives to broker-dealers.
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