RegTech
Get the latest news and insights affecting financial regulatory technology (regtech) used for compliance and other areas.
FINRA Files to Make Remote Inspections Permanent
By Melanie WaddellThe regulator is also seeking approval on rules to modernize home office inspections and more flexible CE requirements.
April 20, 2026
Ameriprise Data Breach Affected Nearly 48,000Two lawsuits sparked by the March incident have been dropped, court records show.
April 03, 2026
CFTC Sues States Over Prediction Markets in 'Unprecedented' MoveCFTC is asserting federal authority over these fast-growing markets with lawsuits against Illinois, Connecticut and Arizona.
March 31, 2026
FINRA Launches Cyber PortalThe platform "will collect, analyze and disseminate threat intelligence" to help broker-dealers respond to attacks, the regulator says.
March 16, 2026
Fidelity Agrees to Pay $2.5M in Data Breach Class ActionHackers took Social Security numbers and other personal information, the lawsuit alleged.
March 03, 2026
United Planners Consolidates Its Compliance, Cybersecurity FunctionsIt's using the regtech tool SurgeONE.ai, which helps advisors stay ahead of regulatory exams.
February 25, 2026
Docupace Names New CEOBrian Filanowski is now the firm's leader; David Knoch steps down after Docupace acquired InvestEdge.
February 18, 2026
Rep Forged 64 Client Signatures on 115 Annuity Applications: FINRAAvinesh Shankar of Pruco Securities received $511,610 in commissions he was not entitled to, a complaint states.