RegTech
Get the latest news and insights affecting financial regulatory technology (regtech) used for compliance and other areas.
16 Biggest Fines in SEC's Texting Crackdown
By Melanie WaddellThe texting sweep has been raging for over two years, with more firms expected to face fines.
June 03, 2024
NYSE Fixes Issue That Showed 99% Drops, Triggered Trading HaltsSome Berkshire Hathaway trades showed its shares changing hands near $185, a discount of 99.97% to Friday's closing price.
May 29, 2024
FINRA Fines Thrivent $325K Over Forged E-SignaturesAt least 15 Thrivent reps electronically signed customer names on over 260 documents since 2017, FINRA says.
May 28, 2024
Hacking Group Claims It Stole Wealthy Clients' Data From Christie'sThe group posted the information and suggested it would publish the entire trove in early June.
May 28, 2024
Former FTX Exec Sentenced to 7.5 Years in PrisonRyan Salame is the first of of Sam Bankman-Fried's close associates to be sentenced on criminal charges.
May 28, 2024
Wall Street Moves to Fastest Settlement of Trades in a CenturyIt's not the first time Wall Street has undergone such a change, but it could be the most challenging.
May 14, 2024
FINRA Fines, Suspends Rep Over WhatsApp MessagesOne client he communicated with was his former brother-in-law, who complained of investing losses, FINRA said.
April 30, 2024
LPL Nears $50M SEC Settlement Over Messaging App UseThe IBD will join more than a dozen other firms that have paid fines over off-channel communications.