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Tag: Securities and Exchange Commission

Monthly Regulatory Summary (February 2023)

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

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The Message from the SEC’s Reg BI Risk Alert: “Come on, be reasonable."

Overview At the end of January, the SEC’s Division of Examinations published a Risk Alert […]

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Monthly Regulatory Summary (January 2023)

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

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Considerations for FINRA Membership involving Digital Asset Securities

In November 2022, FINRA published a podcast that discussed available guidance concerning several paths through […]

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Monthly Regulatory Summary (December 2022)

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

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Monthly Regulatory Summary (November 2022)

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

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Monthly Regulatory Summary (October 2022)

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

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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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Monthly Regulatory Summary (September 2022)

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

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SEC Charges 16 Wall Street Firms with Widespread Recordkeeping Failures

On September 27, 2022, the SEC announced charges against 15 broker-dealers and one investment adviser […]

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