FINRA is a self-regulatory organization overseeing US broker-dealers, administering licensing exams and enforcing industry conduct rules under SEC oversight.
SEC proposes a FINRA-administered exam of about 75 questions and $100 as a new route to accredited investor status. A pass would stay valid for 10 years, so the fee works out to $10 a year.
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SEC examiners named six recurring failures in adviser compliance reviews, the first being written policies that differ from actual practice. Red Oak, a compliance software vendor that sells continuous monitoring, argues that annual reviews alone miss that drift.
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SEC's September 17 exemption gives eligible tokenized shares full shareholder rights while letting their trading venues pick their own price feeds. Douro Labs asked SEC staff on October 9 for provider-neutral standards to judge those feeds.
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Robinhood's margin book hit a record $21.6 billion in the second quarter, up 127% from a year earlier, CNBC reported. Retail leverage is growing fast, and whether it can set off forced selling in a drawdown depends on how bunched those loans are in single stocks.
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Nvidia's Jensen Huang and Meta's Mark Zuckerberg challenged Anthropic's AI risk warnings at a Sept. 29 White House meeting, the Wall Street Journal reported. Anthropic, chasing a $2 trillion listing, still signed the self-regulation accord that came out of the meeting.
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Grayscale's Oct. 5 research shows bitcoin's 225% three-year return turns into an 11% loss once its 15 best trading days are removed. The study drops only the rallies, so it puts a hard price on sitting out but leaves untested the timer who also skips the worst sessions.
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SEC approval of Cboe BZX rules on Oct. 2 opens a listing path for Volatility Shares funds that aim to triple daily Bitcoin and Ether futures returns. Shares cannot trade until a separate S-1 registration takes effect, and that step decides when brokers can offer them.
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SEC and five US partner organizations warned on Oct. 5 about scammers posing as friends, advisers or regulators, with AI making the fakes harder to spot. The agency's newest such case involves more than $15.3 million, set against losses put in the billions a year.
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SEC proposals approved Wednesday would give registered investment advisors much more room to charge performance fees on capital gains in client accounts. Interval-fund changes and a credential route to accredited status widen what retail clients can buy, and the fee rule changes how advisors get paid for it.
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His reversal from "manageable" to "insane" hands legislatures a fiscal instrument. But a levy on use is paid by adopters, and the only measured job damage so far sits at entry level.
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Mark Zuckerberg rejected Dario Amodei's call for a coordinated AI slowdown, telling Joanna Stern each lab should delay its own releases when it sees problems. Until the rival labs' testing body launches, reportedly by the end of 2026 or early 2027, each lab sets its own release timing.
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The startup says Anchor 3.0 caught more than 90 percent of violations in a test it published itself, at under a 500th of the cost of a frontier call, and the messages it misses stay the firm's problem.
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Three advisors took transition advice in 2023 from a law firm Ameriprise recommended to them, then faced arbitration claims from that same firm after they moved to LPL. LPL wants the 2023 file.
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The week opened with three rival AI chiefs nodding along to Dario Amodei's plan for slowing development and closed with the White House calling AI risk a hoax. For anyone buying models, the only enforceable safety text is still the contract.
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The approved rule ends the duty to log weekend bartending shifts and leaves each firm to decide which outside businesses are investment-related. The SEC calls its own standard a floor, and the red-flag duty survives.
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Wired reports the FINRA-style oversight framework has sat in limbo since executives called Trump in August. Product teams are left with an embedded-auditor bill and no House voting days before the midterms.
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Demis Hassabis proposed the organization in July as a government-overseen public-private partnership funded by the AI companies themselves, and the people describing the talks say they continue whether or not the Trump administration joins.
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Anthropic, OpenAI and Google have had working groups meeting since July on a safety standards body they would run themselves, after the White House route stalled. The only cost anyone has published is a 30-day review.
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AMC's chief executive called Robinhood's on-chain version of its stock vile. In the design Fortune describes, Robinhood buys the real shares and Alpaca keeps the book, while the customer holds a contract without voting rights.
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Bank fee hikes on trust work are a real exit signal for advisors with mass-affluent books, but the asset share it moves is 0.6 percentage points a year, and most of the RIA channel's headcount came from somewhere other than banks.
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Invest · August 15, 2026 · One report1 publisher