Advisers Pay-to-Play and Harris-Walz Campaign
As the 2024 U.S. Presidential election approaches, investment advisers need [...]
15
08, 2024
15
07, 2024
Wall Street’s Watchdog: Has FINRA Lost Its Bite?
The Quiet Decline in Enforcement Just after Christmas, FINRA quietly [...]
15
07, 2024
SEC Unveils New Rules for Annuity Disclosures
The Securities and Exchange Commission (SEC) has recently announced significant [...]
15
07, 2024
FINRA Fines and Suspends CFP for Sharing Exam Content
The Financial Industry Regulatory Authority (FINRA) has taken disciplinary action [...]
14
06, 2024
U.S. Court Strikes Down SEC Rule on Private Fund Transparency
In a significant ruling that has sent shockwaves through the [...]
14
06, 2024
FINRA’s Guidance on Chatbots and AI-Generated Content
The rapid adoption of generative artificial intelligence (AI) has revolutionized [...]
14
06, 2024
Financial Firm Fined $250k for Inadequate Supervision of Social Media Influencers
The Financial Industry Regulatory Authority (FINRA) has recently censured a [...]
20
05, 2024
The Future of Regulation: FINRA 2024 Takeaways
The 2024 FINRA Annual Conference provided a wealth of information [...]
16
05, 2024
SEC and FinCEN Propose Customer Identification Rules for Investment Advisors
The U.S. Securities and Exchange Commission (SEC) and the Financial [...]
16
05, 2024
Firm Fined Over $700,000 for Regulatory Violations
In a recent development, the Financial Industry Regulatory Authority (FINRA) [...]
