What: FINRA has proposed to amend Rule 3240 to strengthen the general prohibition against borrowing […]

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

As the regulatory landscape is constantly evolving, Compliance Risk Concepts (“CRC”) is issuing its monthly […]

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

On September 20, 2023, the SEC adopted amendments to the Investment Company Act “Names Rule,” […]

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

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

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

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

As the regulatory landscape is constantly evolving, Compliance Risk Concepts (“CRC”) is issuing its monthly […]