FINRA's Future is Refined & Firm Gets Fined for Gifts

[VIDEO] This month, FINRA sheds some light on their use of AI and GenAI enabled tools & a firm is fined for excessive gifts.

Key Takeaways From This Year’s NSCP Conference

From AI and crypto to the SEC's Marketing Rule and Regulation S-P, here’s what stood out at 2025 Annual NSCP Conference!

$500M Fraud Shows Need for Risk Oversight

A massive fraud case involving misleading investors and fake account records offers vital takeaways for compliance teams.

Compliance Breaches Lead to 22-Month Suspension

FINRA suspends a rep for undisclosed client loans, secret accounts, and misleading statements, highlighting the risks of ignoring basic disclosure rules.