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Category: Industry News

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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News Update: SEC Approves FINRA Rules Change

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

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News Update: Biden Takes Step to Regulate Cryptocurrencies

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

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SEC Offers Guidance on Form CRS

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

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News Reminder: SEC Approves FINRA Rules Change

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

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News Update: JP Morgan to pay $200M for Electronic Recordkeeping Lapses

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

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News Update: FINRA to Sweep BDs on Use of Social Media Influencers to Refer Clients

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

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Breaking News Update SR-FINRA-2020-041 Approval

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

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News Update: SEC Fines 27 Firms for Form CRS Failures

The Securities and Exchange Commission announced on July 26th that 21 investment advisers and 6 broker-dealers […]

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News Update: SEC Issues Statement Regarding Digital Assets

Background & Summary On July 8, 2019, the US Securities and Exchange Commission (SEC) issued […]

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