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Hester Pierce, a Republican SEC appointee, said industry watchdogs had previously been practicing regulation by enforcement with digital assets.
February 12 -
Hester Peirce and SEC Acting Chair Mark Uyeda say they want to group to devise a clear compliance framework for digital assets and end regulation by enforcement.
January 22 -
The avalanche of cases announced Friday included charges against a no-longer registered advisor and firm accused of misappropriating more than $20 million from clients.
January 21 -
Regulators have been working their way steadily down from the biggest players in the industry to regional firms in their quest to stamp out abuses of "off-channel" communications.
August 14 -
Researchers wonder if similar regulatory attention could eventually hit the bottom lines of independent broker-dealers and RIAs.
August 6 -
A new rule allowing people with long-ago criminal convictions to find employment at credit unions is good for both the industry and for society at large.
November 3 -
Increasing federal deposit insurance limits is not the answer to the banking system's woes. It would cause riskier behavior and more red tape. And it wouldn't prevent bank runs.
September 29 -
The National Credit Union Administration voted unanimously to make it easier for boards of directors to ban problematic members.
July 20 -
We have the tools to address our housing challenges through a mix of regulatory reforms, policy changes, incentives and investment. What's needed is the will and leadership to put those tools to work.
June 23 -
It would be a mistake for regulators in the U.S. and Canada to delay the rollout of rules supporting open banking. Fears of bank runs as a result of customer access to their own financial data are overblown.
June 6Financial Data and Technology Association of North America