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.
You are not logged in and do not have access to members-only content.
If you are already a registered user or a member, SIGN IN now.
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.
2026-03-06T20:43:00Z By Adrianne Appel
Financial services company Canaccord has been hit with an $80 million penalty by the U.S. Treasury’s Financial Crimes Enforcement Network (FInCEN)–the largest FinCEN penalty against a broker-dealer in its history.
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.
Site powered by Webvision Cloud