Wall Street Regulators Seek More Enforcement, Exam Coordination
By Nicola M. White and Lydia BeyoudThe SEC and the CFTC plan to coordinate examinations and enforcement for businesses that fall on both agencies' turf.
March 09, 2026
Delaware Supreme Court Rules on Genworth's Claims Against Its InsurersThe case involved coverage for costs related to suits over long-term care insurance premium increases.
March 09, 2026
Ritholtz-Affiliated Exhibit A Charts Platform Adds FeaturesUpdates by the RIA include custom-branded commentary ghostwritten by firm exec Ben Carlson.
March 09, 2026
Wall Street Firms Offer UAE Staff Option to Relocate TemporarilyGoldman Sachs, Morgan Stanley and Citigroup are among those that have given employees this option due to attacks.
March 09, 2026
Ex-Morgan Stanley Rep Impeded Investigation: FINRAThe regulator was probing James Fredrick Tighe's firing over unauthorized transfers from a client account.
March 09, 2026
Morningstar Launches AI Assistant for Advisor PlatformThe technology, according to the firm, is designed to streamline research, meeting prep and client-ready proposals.
March 09, 2026
Dynasty, Wealth.com Partner on AI-Powered Estate Planning ToolDynasty advisor partners will be able to deliver "deeper, scenario-based guidance at scale," CEO Shirl Penney says.
March 09, 2026
UBS Bonus Pool Rises 10%, Ermotti Pay Unchanged at $19MThe firm brought the current CEO back in 2023 to oversee the government-brokered rescue of Credit Suisse.