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 […]
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 […]
The Securities and Exchange Commission announced on July 26th that 21 investment advisers and 6 broker-dealers […]
Background & Summary On July 8, 2019, the US Securities and Exchange Commission (SEC) issued […]
(The Economist | May 2019) Excerpt from the article Rise of the No Men The […]
