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Latest News in Compliance
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November 02, 2026
BlackRock and State Street have pared down a lawsuit by Republican state attorneys general accusing them of driving up coal prices, but a Texas federal judge let stand claims brought by Iowa and Nebraska on behalf of their resident electricity consumers.
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November 02, 2026
The U.S. Securities and Exchange Commission announced it has settled claims against an investment adviser and its former representative it accused of facilitating trades that were unsuitable for their clients' investment objectives.
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November 02, 2026
The U.S. Securities and Exchange Commission has lost hundreds of enforcement employees and seen significant restructuring of its regional offices over the past two years, but the Division of Enforcement's director said that hasn't stopped him from building a "nimble" program that is focused on more than just the number of cases filed.
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November 02, 2026
Fifty publicly traded firms including Goldman Sachs, Microsoft and Nvidia have directed the tokenized stock trading venue OKXICE not to list blockchain-based forms of their shares, according to the crypto platform's latest disclosure.
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November 02, 2026
Groups representing the natural gas and oil industry urged the D.C. Circuit to reverse preliminary injunction rulings over the U.S. Environmental Protection Agency's procedural move sending certain Clean Air Act waivers for California to Congress, arguing that judicial review is barred.
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