RegTech
Get the latest news and insights affecting financial regulatory technology (regtech) used for compliance and other areas.
Docupace Names New CEO
By Janet LevauxBrian Filanowski is now the firm's leader; David Knoch steps down after Docupace acquired InvestEdge.
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.
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.