On January 14, 2026, FINRA filed SR-FINRA-2026-001 with the U.S. Securities and Exchange Commission, proposing […]
The SEC Staff’s recent no-action letter to the Financial Services Institute (FSI) has raised important […]
The acquisition doubles the size and scope of the firm, providing added bandwidth, service verticals […]
On June 3, 2025, SEC Chairman Paul S. Atkins delivered testimony before the United States […]
May 16, 2025 Regulatory Background The 2019 Joint Staff Statement was issued to address the […]
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 […]
