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Wealth & Private Banking in United States

Wealth & Private Banking regulatory updates from United States.

🇺🇸 All United States updates All Wealth & Private Banking updates globally 25 updates
🇺🇸 FINRA Guidance medium

Information Notice - 10/21/25

Information Notice - 10/21/25

AI Analysis

FINRA's Information Notice dated October 21, 2025, reminds member firms of NSCC's amendment to Rule 50, effective October 17, 2025, which removes the "Settle Prep Day" from the ACATS process, shortening full customer account transfers to 3-4 business days. This matters because it aligns with FINRA Rule 11870's requirements to expedite transfers, enhances operational efficiency, reduces risk, and improves client experience amid broader industry shifts like T+1 settlement.[original notice] #

Sectors:
Capital Markets & TradingWealth & Private BankingInvestment Management
Topics:
Consumer Protection / ConductOperational Resilience / OutsourcingReporting & Disclosure
Broker DealerWealth ManagerAll Firms
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🇺🇸 SEC News medium

SEC to Host Hybrid Event on Regulation S-P for Small Firms

The Securities and Exchange Commission today announced it will hold its third and final outreach event to help firms comply with amendments to Regulation S-P. The event, which is focused on small firms, is open to in-person or virtual attendance, and is…

Sectors:
Investment ManagementWealth & Private BankingCapital Markets & Trading
Topics:
Consumer Protection / ConductReporting & DisclosureAuthorisation & Licensing
Asset ManagerBroker DealerWealth Manager
All Firms
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🇺🇸 SEC News low

SEC Publishes Staff Report on Capital-Raising Dynamics

The Securities and Exchange Commission’s Office of the Advocate for Small Business Capital Formation today published and delivered to Congress its 2025 staff report that serves as a comprehensive and data-rich resource on capital-raising dynamics…

Sectors:
Capital Markets & TradingInvestment ManagementWealth & Private Banking
Topics:
Reporting & DisclosureAuthorisation & LicensingConsumer Protection / Conduct
Asset ManagerBroker DealerWealth Manager
All Firms
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🇺🇸 SEC News low

SEC Announces Retirement of Division of Corporation Finance Deputy Director Cicely LaMothe

The Securities and Exchange Commission today announced that Cicely LaMothe, Deputy Director of the Division of Corporation Finance, has retired from the agency.“Cicely has gone above and beyond the call of duty over the past twenty-four years to serve…

Sectors:
Capital Markets & TradingInvestment ManagementWealth & Private Banking
Topics:
Reporting & DisclosureSenior Managers / GovernanceAuthorisation & Licensing
Asset ManagerBroker DealerWealth Manager
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🇺🇸 SEC News

SEC Announces Departure of OIEA Director Lori J. Schock

The Securities and Exchange Commission today announced that Lori J. Schock, who has served as the Director of the Office of Investor Education and Assistance (OIEA) since 2009, will retire from the agency at the end of December.“I have known Lori for…

Sectors:
Investment ManagementCapital Markets & TradingWealth & Private Banking
Topics:
Consumer Protection / ConductReporting & DisclosureSenior Managers / Governance
Asset ManagerBroker DealerWealth Manager
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🇺🇸 SEC News low

Cristina Martin Firvida to Conclude Tenure as Investor Advocate

The Securities and Exchange Commission today announced that Cristina Martin Firvida, who has served as the Director of the Office of the Investor Advocate since January 2023, will conclude her tenure with the agency at the end of January 2026. As…

Sectors:
Investment ManagementWealth & Private BankingCapital Markets & Trading
Topics:
Consumer Protection / ConductReporting & DisclosureSenior Managers / Governance
Asset ManagerWealth ManagerBroker Dealer
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