How to Apply Regulatory Element CE to IAR CE
With the introduction of FINRA's annual Regulatory Element CE requirement [...]
5
11, 2026
4
11, 2026
SEC Alleges False Filings Fueled $130M Fraud Scheme
The SEC has charged two entities with allegedly raising more [...]
4
11, 2026
SEC Approves Performance Projections with Limits
The SEC approved amendments to FINRA Rule 2210, that will [...]
4
11, 2026
What’s New in the SEC’s 2027 Exam Priorities?
The SEC’s Division of Examinations released its fiscal year 2027 [...]
4
11, 2026
FINRA Disciplinary Action Review: October 2026’s Largest Fines
FINRA’s October disciplinary report highlights how gaps in surveillance, transaction [...]
16
10, 2026
Cherry-Picking Allegations Lead to $3M Penalty Agreement
A former bond manager has agreed to pay a $3 [...]
15
10, 2026
SEC Proposes New Crypto Custody Framework for Advisers and Funds
The Securities and Exchange Commission has proposed new rules and [...]
15
10, 2026
FINRA Bars Adviser Amid $2.3 Million Client Misappropriation Allegations
FINRA has barred a Houston financial adviser after he refused [...]
15
10, 2026
FINRA Disciplinary Actions: Fines from September
Each month, FINRA publishes disciplinary actions involving firms and registered [...]
11
09, 2026
Lawmakers Urge FINRA to Strengthen ACATS Fraud Protections
Federal lawmakers are urging FINRA to strengthen protections surrounding brokerage [...]
