FINRA has proposed a single, streamlined rule (the Proposed Rule) to replace FINRA Rule 3270 (Outside Business Activities of Registered Persons) ...

Regulatory authorities continue to advance initiatives to improve the efficiency and sophistication of global securities ...

The regulatory organization says it wants to focus on outside activities that could potentially impact customers.

Key Takeaways - FINRA’s 2025 Annual Regulatory Oversight Report 2025-annual-regulatory-oversight-report.pdf included a focus on issues ...

If the Municipal Securities Rulemaking Board won't scrap a one-minute trade reporting initiative entirely, it should at least allow the timeframe for reporting manual trades to remain at 15 ...

Truckers, as well as the general public, have through Thursday, March 20 to let the agency know whether it should move forward with its proposal to strengthen existing broker transparency regulations.

Read more about Cryptonews The US House of Representatives moved forward on Tuesday with a key vote to repeal the IRS DeFi broker rule ... decide if the IRS is barred from reintroducing similar ...

"When you sell stock with a stock broker, the broker reports the proceeds ... Nikhilesh De is CoinDesk's managing editor for global policy and regulation, covering regulators, lawmakers and ...

According to Bloomberg News, a panel sided with Alpine Securities 2–1 on November 22, finding that Finra’s expedited proceeding against the broker-dealer would allow Finra to expel Alpine with ...

While there has been notable progress, the key barriers for women in insurance remain as the gender pay gap, unequal career progression, and lack of leadership Only users who have a paid subscription ...

LPL Financial (LPLA) announced that Justin Lotano has joined LPL Financial’s broker-dealer, Registered Investment Advisor (RIA) and custodial platforms. He reported serving approximately $250M ...