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Keyword: Mobile applications and devices

170 results found
Man reads legal document carefully using magnifying glass

CFTC boasts of record year for enforcement

A pair of major crypto cases drove monetary relief to record heights

Businessman Blowing Whistle Isolated on White Background

Sweeps buoyed SEC enforcement: report

Brokers' texting, whistleblower protections among regulator's priorities

Phone finances

FINRA reviews day-trading rules

SRO considers modernizing rules amid market, investor evolution

Inspecting papers

SEC targets brokers’ best interests compliance

Exam division details compliance priorities for year ahead

Central bankers deciding economy

Bank turmoil has lessons for regulators

Liquidity oversight may need to evolve in the wake of March 2023 stress

A gavel rests on its sounding block with a several law books and a justice scale out of fucus in the background. A cool blue cast dominates the scene. (A gavel rests on its sounding block with a several law books and a justice scale out of fucus in t

Rating agencies settle SEC texting charges

Firms failed to capture employees' private texts, WhatsApp chats

rules and regulations

TD, RBC sanctioned by U.S. regulators

Firms charged over unapproved off-channel communications

Trading games drive heavier, riskier activity: FCA

Younger, female, low-literacy investors are particularly vulnerable to digital tactics, study shows

Rep fined, banned in CIRO settlement

Former rep admitted to misappropriation

Brokerage app Webull launches in Canada

Discount brokerage offers Canadian and U.S. equities