Compliance Risk Concepts: Senior Compliance Consultants & Executives.

Category: Industry News

Regulatory News Update: Proposed Amendment to FINRA 3240 (Borrowing From or Lending to Customers)

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

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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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Celebrating a Decade of Success and Growth: Compliance Risk Concepts Turns 10

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

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Regulatory News Update: Citadel Prepared to Take Legal Action Against SEC Amid WhatsApp Probe

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

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News Update: SEC Provides Road Map for Investment Advisory Firm Examinations

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

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Regulatory News Update: SEC Announces Rule Proposal Targeting AI-Driven Conflicts of Interest

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

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SEC Recordkeeping Enforcement Continues to Result in Large Penalties for Off-Channel Communications

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

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The Message from the SEC’s Reg BI Risk Alert: “Come on, be reasonable."

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

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Considerations for FINRA Membership involving Digital Asset Securities

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

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SEC Charges 16 Wall Street Firms with Widespread Recordkeeping Failures

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

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