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As the regulatory landscape is constantly evolving, Compliance Risk Concepts (“CRC”) is issuing its monthly review and summary of FINRA, SEC, and NFA notices and bulletins to assist our clients [...]

As the regulatory landscape is constantly evolving, Compliance Risk Concepts (“CRC”) is issuing its monthly review and summary of FINRA, SEC, and NFA notices and bulletins to assist our clients [...]

Background & Summary The Securities and Exchange Commission (“SEC”) entered an order (“Order”) against a broker-dealer for failing to retain text messages relating to the firm’s business with [...]

The Silicon Review  “Compliance demands in the financial services sector are surging and the operational costs associated with hiring and retaining capable in-house assistance is rising in [...]

On June 5, 2019 the Securities and Exchange Commission (“SEC”) voted to enhance the regulatory framework standard of conduct for broker-dealers (or “firms”) and provide an interpretation of the [...]

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Beautiful day in Washington D.C., as Mitch Avnet had an opportunity to connect with former chairperson of SEC, Mary Schapiro. As Chairman of the U.S. Securities and Exchange Commission, Mary L. [...]