Mon, Aug 24, 2026

The official Financial Regulation Journal of SAIFM

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SEC Fines Broker-Dealer $1 Million in First Enforcement Action Under Identity Theft Rule
International

SEC Fines Broker-Dealer $1 Million in First Enforcement Action Under Identity Theft Rule

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Financial Regulators Have Gotten the Memo—The “Brand Memo”
International

Financial Regulators Have Gotten the Memo—The “Brand Memo”

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SEC and FINRA File Three Unrelated Enforcement Actions Charging Digital Assets-Related Securities Law Violations
International

SEC and FINRA File Three Unrelated Enforcement Actions Charging Digital Assets-Related Securities Law Violations

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Broker-Dealer and Affiliate Agree to Pay More Than US $12 Million to Resolve SEC Charges for Allegedly Misleading Dark Pool Practices
International

Broker-Dealer and Affiliate Agree to Pay More Than US $12 Million to Resolve SEC Charges for Allegedly Misleading Dark Pool Practices

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ESMA Publishes First Systematic Internalizer Calculations Data for Investment Firms Under MiFID II
European Union

ESMA Publishes First Systematic Internalizer Calculations Data for Investment Firms Under MiFID II

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Tinker, Tailor, Volcker Simplify: Bank Regulators Propose Revisions to the Volcker Rule
International

Tinker, Tailor, Volcker Simplify: Bank Regulators Propose Revisions to the Volcker Rule

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