RegTech
Get the latest news and insights affecting financial regulatory technology (regtech) used for compliance and other areas.
FINRA to Send E-Delivery Rule Updates to SEC
By Melanie WaddellBroker-dealers would be allowed to make e-delivery their default method when sending investor disclosures and other communications.
December 11, 2025
Trump Administration Plans to Boost Tax Break for CorporationsThe move aims to weaken the 15% minimum tax, which former President Joe Biden signed into law in 2022.
November 12, 2025
Kestra Adds Zocks AI Assistant Platform for AdvisorsThe tool allows financial pros to automate meeting preparation, notes and updates to CRM and planning systems.
November 06, 2025
Indivisible Partners Taps Wealth.com for Estate PlanningThe RIA, founded by Merrill Lynch veterans John Thiel and John Hogarty, has selected Wealth.com as its exclusive provider.
October 09, 2025
FINRA Hits Ally Invest Securities With $850K Fine Over EmailsCoding errors and other technical failures in three systems caused the communications to be lost.
October 06, 2025
Synovus Securities to Pay $315,000 Over E-SignaturesThe BD failed to detect red flags that four associated persons forged and falsified hundreds of signatures, FINRA says.
September 30, 2025
SEC Orders Operating Cost Cuts to CATThe costs of running the order-tracking system "have ballooned beyond belief," says Paul Atkins, the agency chair.
September 18, 2025
SEC Policy Shift Calls for Advisor ActionFirms should not interpret the current pause in rulemaking and the shift away from enforcement as a reprieve.