RegTech
Get the latest news and insights affecting financial regulatory technology (regtech) used for compliance and other areas.
Fidelity Agrees to Pay $2.5M in Data Breach Class Action
By Dinah Wisenberg BrinHackers took Social Security numbers and other personal information, the lawsuit alleged.
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.
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.
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.