Search Results For: eversheds

Finra fines spike 63% in 2023: Report

Trying to halt the SEC

Concerns percolate about how SEC’s AI proposal aligns with Reg BI

Regulators likely to take wait-and-see approach on AI

Gary Gensler has his game face on

Finra fines, restitution and enforcement actions all declined last year, study says

Brokerages need to update tech systems to show Reg BI work to SEC

Lawmakers, Finra increase scrutiny of cryptocurrency

SEC exams director reticent about how agency will probe marketing rule

SEC takes first substantive Reg BI enforcement action

IRS proposal aligns RMD rules with SECURE Act

Brokerages, alts advocates dispute state regulators’ Reg BI assessment

SEC inquiry into online brokers could redefine recommendations

SEC will not assess merit of ESG investments: Peirce

Finra fines jump 43% in 2020 to $57 million

Trump administration pushes regulations across finish line in waning days

To spur lending, SEC loosens restrictions on business development companies

Study shows softening of Finra enforcement last year

Massachusetts fiduciary rule won’t cover variable annuity sales

When disclosing conflicts of interest, wiggle words like ‘may’ may not be good enough

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