Compliance Risk Concepts: Senior Compliance Consultants & Executives.

Category: Regulatory Update

Regulatory News Update: FinCEN Notice of Proposed Rulemaking for Registered Investment Advisers and Exempt Reporting Advisers

What: The proposed rule would require some investment advisers to apply certain anti-money-laundering and countering […]

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Compliance Highlight: FINRA Issues 2024 Regulatory Oversight Report

Today FINRA issued its latest iterative report on its examination and risk monitoring program. This […]

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Regulatory News Update: SEC Adopts New Rule Enhancing Short Sale Disclosure

What: The SEC recently adopted new Rule 13f-2 and related Form SHO and an amendment […]

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Regulatory News Update: SEC Sweep Initiative Targeting AI-Driven Investment Advisers

December 13, 2023 What: The SEC’s Division of Examinations has initiated a sweep of investment […]

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Regulatory News Update: New FINRA “Residential Supervisory Location” (RSL) Approved by SEC

What: The SEC recently approved FINRA’s amended rule proposal (SR-FINRA-006) to adopt new Supplementary Material […]

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Regulatory News Update: FINRA Voluntary Remote Inspection Pilot Program Approved by the SEC

What: The SEC approved FINRA’s amended rule proposal (SR-FINRA-2023-007) to adopt a voluntary, three-year remote […]

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Regulatory News Update: SIPC Nearing Launch of Broker-Dealer Portal

October 20, 2023 What: The Securities Investor Protection Corporation (“SIPC”) is nearing the launch of […]

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Sec Publishes 2024 Exam Priorities
Regulatory News Update: SEC Publishes 2024 Exam Priorities

October 19, 2023 What: The Securities and Exchange Commission (SEC) announced its examination priorities for […]

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Regulatory News Update: SEC Probes Investment Adviser Electronic Communications

September 25, 2023 What: Sources close to relevant investigations indicate that at least a dozen […]

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Broker-Dealer Regulatory Update: Amended Electronic Recordkeeping Requirements

On October 12, 2022, the SEC adopted amendments to the electronic recordkeeping, prompt production of […]

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