Compliance Risk Concepts: Senior Compliance Consultants & Executives.

Author: CRC

FINRA (1)
Compliance Highlight: FINRA Issues 2024 Regulatory Oversight Report

Today FINRA issued its latest iterative report on its examination and risk monitoring program. This […]

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regulatorynews update
Monthly Regulatory Summary (December 2023)

As the regulatory landscape is constantly evolving, Compliance Risk Concepts (“CRC”) is issuing its monthly […]

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Regulatory News Update: SEC Adopts New Rule Enhancing Short Sale Disclosure

What: The SEC recently adopted new Rule 13f-2 and related Form SHO and an amendment […]

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SEC Adopts Amendments to Names Rule

On September 20, 2023, the SEC adopted amendments to the Investment Company Act “Names Rule,” […]

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Regulatory News Update: SEC Sweep Initiative Targeting AI-Driven Investment Advisers

December 13, 2023 What: The SEC’s Division of Examinations has initiated a sweep of investment […]

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Monthly Regulatory Summary (November 2023)

As the regulatory landscape is constantly evolving, Compliance Risk Concepts (“CRC”) is issuing its monthly […]

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Regulatory News Update: New FINRA “Residential Supervisory Location” (RSL) Approved by SEC

What: The SEC recently approved FINRA’s amended rule proposal (SR-FINRA-006) to adopt new Supplementary Material […]

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Regulatory News Update: FINRA Voluntary Remote Inspection Pilot Program Approved by the SEC

What: The SEC approved FINRA’s amended rule proposal (SR-FINRA-2023-007) to adopt a voluntary, three-year remote […]

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Monthly Regulatory Summary (October 2023)

As the regulatory landscape is constantly evolving, Compliance Risk Concepts (“CRC”) is issuing its monthly […]

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sipc
Regulatory News Update: SIPC Nearing Launch of Broker-Dealer Portal

October 20, 2023 What: The Securities Investor Protection Corporation (“SIPC”) is nearing the launch of […]

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