FINRA Regulatory Notices Per Notice 21-31, FINRA has established a new Supplemental Liquidity Schedule (SLS). The new SLS, which members subject to […]

September 2021 Overview & Summary FINRA announced that it is conducting a review of firm practices related to the acquisition […]

Compliance Risk Concepts LLC (“CRC”) today announced that Steve Brown is joining the compliance professional services organization as Director of […]

On June 5, 2019 the Securities and Exchange Commission (“SEC”) voted to enhance the regulatory framework standard of conduct for […]

On June 5, 2019 the Securities and Exchange Commission (“SEC”) voted to enhance the regulatory framework standard of conduct for […]

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(The Economist | May 2019) Excerpt from the article Rise of the No Men The past decade has brought a […]

Mitch Avnet shared his thoughts on pharmaceutical compliance and the opioid crisis in the following Law360 article titled With Opioid Charges, […]

You are Cordially Invited to FINRA Happy Hour EventAt CRC, we like to keep it breezy,so please come join us […]