Regulation News
Financial regulation news from the SEC, FINRA, and government agencies. Track policy changes, enforcement actions, and compliance updates affecting markets.
West Marine Shutters 59 Stores Amid Chapter 11 Restructuring, Executive Bonuses Draw Scrutiny
West Marine closes 59 stores in 23 states as part of Chapter 11 restructuring, with $1.075 million in retention bonuses paid to executives shortly before filing.
New York Enacts Law to Block 3D-Printed Firearms
New York's FY27 budget law requires 3D printers sold in the state to include firearm-blocking technology, subject to a feasibility review, with a $5,000 penalty for noncompliance.
Convicted Fintech Founder Seeks Trump Pardon in JPMorgan Fraud Case
Charlie Javice, convicted of defrauding JPMorgan in its $175 million Frank acquisition, is seeking a presidential pardon from Donald Trump as appeals and legal battles continue.
Airgas Ordered to Reinstate 24 Ferndale Workers with Full Back Pay
An arbitrator ordered Airgas to reinstate 24 Ferndale workers with full back pay and benefits, ending a nearly year-long labor dispute.
Google AI Liability Ruling Adds to Alphabet's Regulatory Woes
Alphabet shares edged higher Friday even as a German court ruling on Google's AI Overviews introduces new legal liability risks for its core search business, with Q2 earnings on the horizon.
Merrill Lynch Fined $225K by FINRA for Over 1,600 Unreported Complaints
FINRA fined Merrill Lynch $225,000 for failing to report over 1,600 customer complaints from post-call surveys in 2023. The firm self-disclosed, conducted a lookback, and suspended written survey comments.
WBD Shares Lag Despite DOJ Antitrust Clearance for Paramount Deal
WBD shares rose 0.45% to $26.98 after DOJ cleared the Paramount Skydance takeover, but the stock remains 15% below the $31 deal price as investors weigh FCC and state legal hurdles.
Richtech Robotics Shares Tumble After Financial Restatement Announcement
Richtech Robotics shares dropped up to 10% premarket after disclosing errors in financial statements for 2024 and 2025, citing warrant liabilities and a SEPA. The company plans to restate results.
Coupang Shares Jump 14% as $410M Privacy Fine Resolves Regulatory Cloud
Coupang shares jumped 14.09% to $17.25 after South Korea levied a record $410 million privacy fine, clarifying a regulatory overhang. The charge will hit Q2 operating expenses.
US States and Congress Tighten Crypto ATM Rules Amid $388M Scam Losses
Delaware advances a bill to ban crypto kiosks within 90 days, while North Carolina opts for regulation. New federal legislation targets scams, with FBI data showing over $388 million in losses.
Uber Stock Slips Amid NYC Regulatory Battle Over Driver Deactivations
Uber shares dropped Thursday as investors reacted to a legal battle over New York City's Local Law 52, which limits ride-hailing companies' ability to deactivate drivers without just cause.