Compliance Engine News Today

/PRNewswire/ -- Aqueduct Technologies, a leading IT solutions provider, announced the general availability of GRACE 2.0, the latest iteration of its...

On Feb. 6, 2024, the US Securities and Exchange Commission ("SEC" or "Commission") adopted new Rules 3a5‑4 and 3a44‑2 (together, "Final Rules")...

On October 16, 2023, the Securities and Exchange Commission's (the "SEC" or the "Commission") Division of Examinations (the "Division") released its 2024 examination priorities (the "Priorities").

On January 11, 2024, the Financial Industry Regulatory Authority, Inc. (“FINRA”) filed with the Securities and Exchange Commission (“SEC”) a proposed rule change (the “Proposal”) to...

It is important to prioritize clarity in data in age of artificial intelligence when sources are harder to trace, says John Williams.

On Oct. 13, 2023, the SEC adopted new Rule 10c-1a under the Securities Exchange Act of 1934, as amended ("Exchange Act"), which the Federal Register officially published on Nov. 3, 2023.

On October 13, 2023, the Securities and Exchange Commission (the “SEC”) adopted new Rule 10c-1a (the “Securities Lending Rule”), requiring the reporting of certain securities lending...

On October 13, 2023, the SEC issued a release (the “Release”) adopting new Rule 10C-1(a) (the “Rule”) under the Exchange Act “to increase the…

“You can trust this price as a reference price for that bond at that point in time,” says Tony McManus, global head of enterprise data at Bloomberg.

The Securities and Exchange Commission (SEC) recently adopted amendments to SEC Rule 15b9-1 that will require virtually every broker-dealer to become a Financial Industry...