RegTech
Get the latest news and insights affecting financial regulatory technology (regtech) used for compliance and other areas.
SEC Sends E-Delivery Rule to White House for Review
By Melanie WaddellSEC Chair Paul Atkins has said he's asked agency staff to draft a "broader" e-delivery rule.
June 05, 2026
SpaceX, Other Mega IPOs Denied Fast Index Entry by S&PNasdaq changed its rules recently so SpaceX can join the Nasdaq 100 Index in just 15 trading days.
May 12, 2026
E-Delivery Rule Will Be 'Broader': SEC ChiefThe SEC's e-delivery approach will apply across BDs and investment advisors, Atkins said at FINRA's annual conference.
April 20, 2026
Ameriprise Data Breach Affected Nearly 48,000Two lawsuits sparked by the March incident have been dropped, court records show.
April 03, 2026
CFTC Sues States Over Prediction Markets in 'Unprecedented' MoveCFTC is asserting federal authority over these fast-growing markets with lawsuits against Illinois, Connecticut and Arizona.
March 31, 2026
FINRA Launches Cyber PortalThe platform "will collect, analyze and disseminate threat intelligence" to help broker-dealers respond to attacks, the regulator says.
March 16, 2026
Fidelity Agrees to Pay $2.5M in Data Breach Class ActionHackers took Social Security numbers and other personal information, the lawsuit alleged.
March 03, 2026
United Planners Consolidates Its Compliance, Cybersecurity FunctionsIt's using the regtech tool SurgeONE.ai, which helps advisors stay ahead of regulatory exams.