Senior Investor Protection Moves to the Forefront
FINRA is stepping up its long-standing efforts to safeguard senior [...]
18
08, 2025
18
08, 2025
FINRA Fines Firm for Supervisory Failures in Private Placements
FINRA has fined and censured a broker-dealer for failing to [...]
11
08, 2025
FINRA’s Proposed Update to Gift Limits in Rule 3220
FINRA has proposed a long-awaited update to Rule 3220, commonly [...]
30
07, 2025
FinCEN Postpones AML Rule—Here’s Why Firms Shouldn’t Wait
On July 21, 2025, the Financial Crimes Enforcement Network (FinCEN) [...]
14
07, 2025
$2.9M in Unauthorized Fees Uncovered By The SEC
A Chicago-based investment advisory firm is facing serious allegations from [...]
11
07, 2025
FINRA’s Remote Oversight Plan Faces Criticism From PIABA
Regulatory inspections have long been a cornerstone of FINRA’s oversight [...]
9
06, 2025
5 Major Themes from the 2025 FINRA Conference
The 2025 FINRA Annual Conference brought together compliance professionals, regulators, [...]
11
04, 2025
FINRA’s New RSL Designation: What You Need to Know
As remote and hybrid work arrangements become the norm, FINRA’s [...]
11
04, 2025
FINRA Announces Initiatives to Reduce Regulatory Burdens
In a recent address at a Securities Industry and Financial [...]
11
04, 2025
NASAA Moves to Prohibit Use of “Advisor” Title
The North American Securities Administrators Association (NASAA) recently voted to [...]
