What: FINRA has proposed to amend Rule 3240 to strengthen the general prohibition against borrowing […]

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

Celebrating our 10th anniversary this year, Compliance Risk Concepts (CRC) remains committed to helping businesses […]

September 29, 2023 Bloomberg reported that Citadel has indicated it is planning to push back against the […]

September 2023 Overview & Summary On Sept. 6, 2023, the Securities and Exchange Commission’s Division […]

What: SEC voted in a split 3-2 decision on July 26th to release a proposal […]

The list of firms that have been charged in less than 12 months with recordkeeping […]

Overview At the end of January, the SEC’s Division of Examinations published a Risk Alert […]

In November 2022, FINRA published a podcast that discussed available guidance concerning several paths through […]

On September 27, 2022, the SEC announced charges against 15 broker-dealers and one investment adviser […]