FINRA’s Q1 2026 Regulatory Agenda
FINRA recently released its February 2026 Quarterly Regulatory Policy Agenda [...]
13
03, 2026
13
03, 2026
$80M AML Penalty Sends Warning to Broker-Dealer Industry
The largest anti-money laundering penalty ever imposed on a broker-dealer [...]
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 [...]
26
02, 2026
Webinar Recap: 2026 FINRA and SEC Exam Priorities
In our recent webinar, 2026 FINRA & SEC Exam Priorities: [...]
13
02, 2026
FINRA Proposes Allowing Performance Projections Under Rule 2210
FINRA has proposed amendments to Rule 2210 that would allow [...]
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 [...]
26
01, 2026
[Webinar] 2026 FINRA & SEC Exam Priorities for Compliance
- REGISTER BELOW - Join us on February 10th at 12 [...]
15
01, 2026
Inaccurate Disclosures Lead to $4.6M Restitution Order for Firm
A recent FINRA settlement highlights the importance of accurate customer [...]
15
12, 2025
Inside FINRA’s 2026 Oversight Report
FINRA has released its 2026 Annual Regulatory Oversight Report earlier [...]
