The SEC announced it has voted to adopt a new rule and form amendments designed to modernize the regulation of ETFs. Read More

Held every October, National Cybersecurity Awareness Month is a great time for your compliance team to focus on educating staff. Read More

FINRA has issued new resources to assist financial firms in their efforts to comply with the SEC’s Reg BI and Form CRS by the rules’ compliance date of June 30, 2020. Read More

In this article, we’ll highlight some frequently asked questions when it comes to identifying and reporting customer complaints. Read More

On August 29, 2019, the SEC announced that it has reached a settlement with a Dallas-based cryptocurrency dealer called Bitqyck to the tune of $10.1 million. Read More

Over half of UK businesses aren’t compliant with the GDPR more than 15 months after its introduction, despite many reporting data security incidents to the ICO, according to new research from Egress. Read More

Producers selling annuities in New York face one significant change after the state’s best-interest standard took effect in August: training. Read to learn how to comply with the training requirement. Read More

The Financial Industry Regulatory Authority (FINRA) has created a Regulation Best Interest webpage to help broker-dealers comply with the Securities and Exchange Commission’s rule, and is urging broker-dealers to submit questions to the securities regulator about Reg BI and the agency’s customer relationship summary, Form CRS, to IABDQuestions@sec.gov. Read More

FINRA is conducting a retrospective review to assess the effectiveness and efficiency of its rules and administrative processes that help protect senior investors from financial exploitation. Read More

The Securities Industry/Regulatory Council on Continuing Education (Council) publishes the Firm Element Advisory (FEA) to highlight current regulatory and sales practice topics for possible inclusion in Firm Element training plans. Read More