$80M AML Penalty Sends Warning to Broker-Dealer Industry
The largest anti-money laundering penalty ever imposed on a broker-dealer [...]
13
03, 2026
13
03, 2026
FINRA Officially Raises Gift Limit to $300
FINRA announced on February 27, 2026, amendments to FINRA Rule [...]
13
03, 2026
Is FINRA’s Independent Role Under Threat?
A congressional hearing last week put one of the securities [...]
13
02, 2026
FINRA Proposes Allowing Performance Projections Under Rule 2210
FINRA has proposed amendments to Rule 2210 that would allow [...]
12
02, 2026
FinCEN Pushes Adviser AML Rule to 2028
FinCEN has formally delayed the long-anticipated anti-money laundering (AML) rule [...]
12
02, 2026
FINRA Fines Firm $60K for Reg BI and Supervisory Failures
FINRA recently fined a broker-dealer $60,000 and issued a censure [...]
12
02, 2026
SEC Alleges $9.8M Theft From Elderly Client
The SEC has charged a licensed investment adviser with allegedly [...]
15
01, 2026
Inaccurate Disclosures Lead to $4.6M Restitution Order for Firm
A recent FINRA settlement highlights the importance of accurate customer [...]
15
01, 2026
Understanding the SEC’s Marketing Rule
The SEC’s modernized Marketing Rule has reshaped how investment advisers [...]
15
01, 2026
SEC Proposal May Redefine RIA “Small Entity” Status
The SEC has proposed amendments to how it defines “small [...]
