AI-Generated Content Wastes Time and Damages Trust at Work
ByAinvest
Wednesday, Sep 24, 2025 10:48 am ET1min read
DOUG--
FINRA's inquiry, reported by Reuters, is focused on determining who at Douglas Elliman had knowledge of the offer before it became public. The watchdog has requested board minutes, a list of individuals with knowledge of the offer, communications with advisors, and clearance records for trades in the month preceding May 23, 2025. This investigation comes amidst broader concerns about the company's work environment following the resignation of CEO Howard Lorber in October 2024 [1].
The investigation is part of FINRA's routine examination of unusual trading activity. While the inquiry does not allege any violations, it highlights the regulatory scrutiny of potential insider trading. The regulator often refers suspected cases to the Securities and Exchange Commission (SEC) for further action.
Meanwhile, the SEC is also facing pressure to expand retirement plan investment options, including cryptocurrency. U.S. lawmakers have urged the agency to implement President Trump's executive order that opens the $12.5 trillion 401(k) market to alternative assets, including cryptocurrency [2].
The SEC is expected to play a central role in revising regulations, particularly around the accredited investor definition. The move aims to broaden investment choices for the more than 90 million Americans who participate in employer-sponsored defined contribution plans. Industry groups have long lobbied for such reforms, arguing that retirement portfolios limited to stocks and bonds do not reflect the broader evolution of capital markets [2].
In other regulatory news, the SEC is signaling a shift in its approach to crypto and corporate disclosures. The agency is moving away from the lawsuit-driven approach of its previous administration and toward a more collaborative stance with the crypto industry and public companies. This shift includes plans to end mandatory quarterly earnings reporting and to provide firms with preliminary notices of potential technical violations before enforcement is considered [2].
HOUS--
FINRA has opened an inquiry into pre-deal trading related to Douglas Elliman's shelved takeover approach from Anywhere Real Estate Inc. The watchdog requested information from the brokerage, including a timeline, board minutes, and pre-clearance records. The inquiry does not itself allege violations, but the regulator routinely examines unusual activity and refers suspected insider trading to the SEC.
The Financial Industry Regulatory Authority (FINRA) has initiated an investigation into trading activity at Douglas Elliman (NYSE: DOUG) ahead of Anywhere Real Estate Inc.'s (NYSE: HOUS) failed takeover bid. The probe, which is in its early stages, seeks to understand the timeline and details of events leading up to the offer's disclosure in late May [1].FINRA's inquiry, reported by Reuters, is focused on determining who at Douglas Elliman had knowledge of the offer before it became public. The watchdog has requested board minutes, a list of individuals with knowledge of the offer, communications with advisors, and clearance records for trades in the month preceding May 23, 2025. This investigation comes amidst broader concerns about the company's work environment following the resignation of CEO Howard Lorber in October 2024 [1].
The investigation is part of FINRA's routine examination of unusual trading activity. While the inquiry does not allege any violations, it highlights the regulatory scrutiny of potential insider trading. The regulator often refers suspected cases to the Securities and Exchange Commission (SEC) for further action.
Meanwhile, the SEC is also facing pressure to expand retirement plan investment options, including cryptocurrency. U.S. lawmakers have urged the agency to implement President Trump's executive order that opens the $12.5 trillion 401(k) market to alternative assets, including cryptocurrency [2].
The SEC is expected to play a central role in revising regulations, particularly around the accredited investor definition. The move aims to broaden investment choices for the more than 90 million Americans who participate in employer-sponsored defined contribution plans. Industry groups have long lobbied for such reforms, arguing that retirement portfolios limited to stocks and bonds do not reflect the broader evolution of capital markets [2].
In other regulatory news, the SEC is signaling a shift in its approach to crypto and corporate disclosures. The agency is moving away from the lawsuit-driven approach of its previous administration and toward a more collaborative stance with the crypto industry and public companies. This shift includes plans to end mandatory quarterly earnings reporting and to provide firms with preliminary notices of potential technical violations before enforcement is considered [2].
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