The concerns were raised in a report released by the SEC's Office of Compliance Inspections and Examinations detailing its priorities for exams in 2020.

Reg BI, at odds with Section 913 of the Dodd-Frank Act, cannot stand, the congressmen argue.

A hearing in Boston this morning brought out advocates and opponents to Massachusetts Commonwealth Secretary William Galvin's proposed standard.

Breaking down the Google BERT algorithm update.

FINRA claims Oppenheimer clients may have incurred more than $3.8 million in extra fees that they would not have had to pay if they had held their UIT positions to their maturity dates.

Hearsay Systems has added an automated compliance supervision component to its Relate platform.

Clients need to be convinced that you care about more than just their money, or they will find someone else who does.