RegTech
Get the latest news and insights affecting financial regulatory technology (regtech) used for compliance and other areas.
CFTC Sues States Over Prediction Markets in 'Unprecedented' Move
By J.J. McCorvey and Nicola M. WhiteCFTC is asserting federal authority over these fast-growing markets with lawsuits against Illinois, Connecticut and Arizona.
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.
February 25, 2026
Docupace Names New CEOBrian Filanowski is now the firm's leader; David Knoch steps down after Docupace acquired InvestEdge.
February 18, 2026
Rep Forged 64 Client Signatures on 115 Annuity Applications: FINRAAvinesh Shankar of Pruco Securities received $511,610 in commissions he was not entitled to, a complaint states.
February 13, 2026
Ameriprise Advisor Tricked by Phishing ScamIt was the firm's second report of a phishing-related data breach in as many months.
February 05, 2026
FINRA to Send E-Delivery Rule Updates to SECBroker-dealers would be allowed to make e-delivery their default method when sending investor disclosures and other communications.
January 15, 2026
Goldman Explores Prediction Market Opportunities: SolomonThe entrance of the mainstream Wall Street firm might bolster the legitimacy and volume of the booming corner of finance.
December 26, 2025
Bitcoin's Slide Sets Up an Unusual Tax Harvesting OpportunityIf losses exceed gains, up to $3,000 can be deducted from ordinary income each year, with any additional losses being carried forward.