Compliance Risk Concepts: Senior Compliance Consultants & Executives.

Tag: Compliance Bulletin

Regulatory News Update: Proposed Amendment to FINRA 3240 (Borrowing From or Lending to Customers)

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

Read More
FINRA (1)
Compliance Highlight: FINRA Issues 2024 Regulatory Oversight Report

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

Read More
regulatorynews update
Monthly Regulatory Summary (December 2023)

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

Read More
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 […]

Read More
SEC Adopts Amendments to Names Rule

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

Read More
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 […]

Read More
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 […]

Read More
sipc
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 […]

Read More
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 […]

Read More
Monthly Regulatory Summary (September 2023)

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

Read More
1 2 3 6

CRC NEWSLETTER

Stay updated with all latest updates,upcoming events & much more.

Subscribe NowSupport
Copyright Compliance Risk Concepts | All Rights Reserved © 2023 | Privacy Policy
magnifier