New AI findings, SEC and FINRA proposals, and an early look at potential 2027 training topics.

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The Compliance Digest

Expert compliance tips and up-to-date regulatory news
AI Policies Are in Place. Is Oversight Keeping Up?

AI Policies Are in Place. Is Oversight Keeping Up?

AI policies are becoming standard, but are firms prepared to oversee how the technology is actually used? Explore new survey findings on human review, output testing, third-party tools, and incident response.
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FINRA Previews Potential 2027 Regulatory Element Topics

FINRA Previews Potential 2027 Regulatory Element Topics

Discover the potential Regulatory Element topics that could help shape firms’ 2027 training plans.
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What the SEC’s E-Delivery Proposal Could Mean for Firms

What the SEC’s E-Delivery Proposal Could Mean for Firms

See how the SEC’s E-Delivery proposal could change communications & firms’ responsibilities.
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FINRA Could Reshape How Firms Review Retail Communications

FINRA Could Reshape How Firms Review Retail Communications

Explore FINRA’s proposed approach to reviewing retail communications & social media.
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