Regulation and compliance
Regulation and compliance
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The popular online broker-dealer has caught regulators' eyes over its moves into market news, trading in sports games and other events, and a new premium credit card.
February 21 -
The new group will be in charge of fighting fraud not only in digital assets also in social media platforms, artificial intelligence, machine learning and blockchain technologies.
February 20 -
Berdina Moore-Bonds alleges that when Morgan Stanley embarked on a reorganization of its regional divisions in 2023, she and another Black woman were the only field leaders to lose their jobs.
February 20 -
In a legal response, LPL contends it has been sued at least seven times in the past year after recruiting advisors from industry rival Ameriprise.
February 19 -
The pace of natural disasters seems to be accelerating, prompting taxpayers and preparers to search for ways to deduct catastrophic losses.
February 19 -
The order called for agencies including the SEC and the FTC to submit draft regulations for White House review before publication.
February 19 -
Hester Pierce, a Republican SEC appointee, said industry watchdogs had previously been practicing regulation by enforcement with digital assets.
February 12 -
President Donald Trump outlined his tax priorities in a meeting with Republican lawmakers, including expanding the state and local tax deduction.
February 7 -
The hearing last month explored the legal process for enforcing the fiduciary duty of retirement plans to avoid excessive recordkeeping fees.
February 6 -
Former UBS employee Cody Rice acknowledges that his politics and personal traits made him an outlier in the ESG world. But that, he says in a lawsuit, was no excuse for the treatment he received.
February 6