Browsing: Regulatory
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Kalshi’s Attempt Fails: Wall Street Needs Workable Compliance for Prediction Markets
06/15/2026
The following is a guest article by Susan Mathews, Principal & Founder of Madigail Consulting, LLC a securities compliance consultant providing research and ethics compliance, training and external GC and ...
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SEC Proposes Rescission of Climate-Related Disclosure Rules
06/10/2026
The U.S. Securities and Exchange Commission (SEC) has recently proposed the formal rescission of climate-related disclosure rules which became effective in March 2024 following pushback from public companies and various ...
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SEC Proposes Optional Semiannual Reporting in Shift From Quarterly Mandate
05/13/2026
The Securities and Exchange Commission proposed rule and form amendments on May 5, 2026, that would allow US domiciled public companies to elect semiannual interim reporting in place of the ...
Survey: The US vs EU Research Budget Divergence
05/04/2026
Substantive Research recently published findings from a survey of the 50 largest asset managers globally showing US investment research budgets have recovered 40 basis points since 2022, while European budgets ...
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Castine – Global CSA Outlook 2026 – Buy Side and Sell Side
02/17/2026
The following guest article was written by John McGough, Jr., a member of the Global Business Development team at financial technology provider Castine, LLC. John has spent over 25 years ...
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Does AI Create Insider Trading Without Insiders?
02/11/2026
The following is a guest article written by Vinesh Jha, CEO of ExtractAlpha, an independent research firm dedicated to providing unique, actionable alpha signals to institutional investors. Vinesh has spent ...
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2025: A Transformative Year for ESG and Sustainability in the Global Investment Research Industry
12/31/2025
2025 marked a watershed moment for Environmental, Social, and Governance (ESG) factors and sustainability initiatives, profoundly influencing the global investment research industry. Amid escalating climate risks, geopolitical shifts, and heightened ...
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Outsourcing Oversight: SEC Expectations and the Role of Due Diligence Software
12/22/2025
The following guest article was written by John McGough, Jr., a member of the Global Business Development team at financial technology provider Castine, LLC. John has spent over 25 years ...
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SEC Ends Remaining Restrictions from 2003 Global Research Analyst Settlement
12/18/2025
On December 5, 2025, the Securities and Exchange Commission (SEC) announced a significant regulatory shift by consenting to the termination of the remaining restrictions associated with the landmark Global Research ...
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FINRA Issues Stark Warnings on Generative AI Risks in 2026 Regulatory Agenda
12/11/2025
In a timely release amid the rapid proliferation of artificial intelligence tools in financial services, the Financial Industry Regulatory Authority (FINRA) has unveiled its 2026 Annual Regulatory Oversight Report, spotlighting ...