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 […]

In an order[1] dated July 30, 2021, the SEC approved the adoption of new FINRA […]

March 2022 Overview & Summary President Biden signed an executive order on Wednesday, March 9 […]

Overview As firms prepare their annual ADV updates or review their compliance programs, one area […]

Overview In an order[1] dated July 30, 2021, the SEC approved the adoption of new FINRA […]

December 2021 Overview & Summary JP Morgan has agreed to pay the SEC and CFTC […]

September 2021 Overview & Summary FINRA announced that it is conducting a review of firm […]

News Update: SEC Approves FINRA Rules Change August 18, 2021 Overview & Summary In an […]