Review documents failings in meeting KYC, KYP, suitability requirements
FINRA to accelerate arbitration process for vulnerable clients
Disclosure rules eased, lines between pro, retail investors redrawn
Policymakers propose measures to integrate, harmonize markets
Final consultation on merged dealer rules will get 120-day comment period
Compliance review will examine industry conflicts with investors' interests
Regulator publishes draft priorities, highlighting competitive concerns
Regulators seek feedback on initiative that sparked little activity
Market environment remains supportive for 2026, but downside risks persist
Regulator looks to introduce consolidated equity tape in 2027