Highlights In its Examination Priorities for Fiscal Year 2026, the U.S. Securities and Exchange Commission (SEC) signals a ...
On November 17, 2025, the Division of Examinations (the “Division”) of the U.S. Securities and Exchange Commission (the “SEC”) published its ...
On November 17, 2025, the U.S. Securities and Exchange Commission’s Division of Examinations (Division) released its annual examination priorities ...
Finra examiners have found AI systems producing inaccurate information and influencing investment recommendations or internal decisions without adequate human review, Finra said in its “2026 ...
Changes in the U.S. capital markets and at the SEC present new opportunities for growth, innovation and refinement of our ...
The PCAOB issued its annual report Thursday on its audits of brokers and dealers and is seeing at least one deficiency in 70% of the 103 audit engagements it reviewed in 2023. "Overall, in 2023 we ...
The Securities and Exchange Commission has charged a registered broker-dealer with violations of Regulation Best Interest. First Horizon Advisors, LLC, was found to have not maintained and enforced ...
A growing number of financial advisors have been leaving their broker-dealer (BD) firms to start or join a registered investment advisor (RIA), an annual industry analysis has found. The study noted ...
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