Plus: FINRA exam updates & a $7M ETF suitability complaint

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The Compliance Digest

Expert compliance tips and up-to-date regulatory news
FINRA Gives Broker-Dealers Earlier Exam Visibility

FINRA Gives Broker-Dealers Earlier Exam Visibility

FINRA is updating its examination process with earlier scheduling notifications and expanded opportunities for firms to receive findings sooner.
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Small Firms, Your Reg S-P Deadline Is Almost Here

Small Firms, Your Reg S-P Deadline Is Almost Here

With the June 3, 2026, deadline approaching, learn how smaller firms should be finalizing their Reg S-P policies, incident response procedures, and more.
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$7M ETF Complaint Highlights Suitability Risks

$7M ETF Complaint Highlights Suitability Risks

A recent $7M complaint tied to alleged unsuitable ETF recommendations highlights the ongoing importance of suitability oversight and supervisory controls.
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Improving Regulatory Oversight & One More Round

Improving Regulatory Oversight & One More Round

[VIDEO] This month, the CFTC urges stronger regulatory coordination while the SEC seeks more feedback on FINRA’s OBA proposal.
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