Regulatory examinations continue to identify recurring compliance deficiencies across SEC-registered investment advisers and broker-dealers. While […]
On January 14, 2026, FINRA filed SR-FINRA-2026-001 with the U.S. Securities and Exchange Commission, proposing […]
Q1 Annual Testing Kickoff The Moment That Matters Q1 is not just the start of […]
Why the First 90 Days Can Determine the Next 10 Years Executive Summary The decision […]
The SEC issued two closely related statements that, when read together, offer one of the […]
Foundations, Regulatory Expectations, and 2026 Focus Areas for RIAs and Broker-Dealers Compliance testing is often […]
The SEC’s Division of Examinations has released a new Risk Alert detailing additional observations from […]
A CRC Perspective FINRA’s 2026 Annual Regulatory Oversight Report lands with a familiar mix of […]
On Monday, November 17th, 2025, FINRA unveiled an interactive report card related to Account Holder […]
Executive Summary The SEC's 2026 Exam Priorities confirm a shift that Compliance Risk Concepts (CRC) […]
OVERVIEW As regulators prepare for a more complex and technology-driven enforcement landscape in 2026, NASAA’s […]
The SEC Staff’s recent no-action letter to the Financial Services Institute (FSI) has raised important […]
Custody of crypto assets has long been one of the most challenging areas for regulated […]
As the regulatory landscape is constantly evolving, CRC is issuing its monthly review and summary […]
Executive Summary The Securities and Exchange Commission (SEC) has announced the creation of the President’s […]
