RegTech
Get the latest news and insights affecting financial regulatory technology (regtech) used for compliance and other areas.
E-Delivery Rule Will Be 'Broader': SEC Chief
By Melanie WaddellThe SEC's e-delivery approach will apply across BDs and investment advisors, Atkins said at FINRA's annual conference.
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.
February 13, 2026
Ameriprise Advisor Tricked by Phishing ScamIt was the firm's second report of a phishing-related data breach in as many months.
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.