Why Regulatory Compliance Consulting Is Critical for Financial FirmsApril 16, 2025In today's rapidly changing regulatory landscape, financial firms face immense pressure to maintain compliance while pursuing growth. Navigating SEC and FINRA oversight alongside ensuring internal procedures meet current laws has made the compliance environment more intricate than ever. This is…
FINRA Requests Comment on Capital Formation Modernization – Regulatory Notice 25-06April 4, 2025regulatory-notice-25-06Download FINRA is seeking industry input to help modernize its rules, guidance, and operational processes related to capital formation. Regulatory Notice 25-06 outlines a broad review initiative aimed at identifying ways to support more efficient capital-raising activities, especially for small…
FINRA Regulatory Notice 25-04: Reimagining the Modern Workplace and Capital Formation RulesMarch 31, 2025Regulatory-Notice-25-04Download FINRA is seeking public comment on a sweeping modernization initiative that will reshape regulatory obligations for member firms and associated persons in light of today’s evolving business models and technologies. This notice marks the beginning of a broad review…
FINRA Regulatory Notice 25-05: Streamlining Outside Activity Rules for Associated PersonsMarch 31, 2025Regulatory-Notice-25-05_1Download FINRA has released Regulatory Notice 25-05, inviting public comment on a proposal aimed at reducing compliance burdens tied to outside business activities (OBAs) and private securities transactions (PSTs). The proposal seeks to consolidate FINRA Rules 3270 and 3280 into…
The Role of Regulatory Compliance Consulting in Navigating Complex RegulationsFebruary 19, 2025For financial institutions, navigating complex financial regulations is more challenging than ever. The SEC and Self Regulatory Organizations such FINRA and NFA continuously update their regulatory framework, requiring firms to stay ahead of evolving compliance requirements. Without a clear strategy,…
Key Compliance Priorities: Navigating the 2025 FINRA Regulatory Oversight ReportFebruary 13, 2025The 2025 FINRA Annual Regulatory Oversight Report identifies critical compliance priorities and emerging risks that broker-dealers, investment advisers, and financial institutions must address to stay compliant. To maintain compliance in this evolving landscape, firms must proactively strengthen their frameworks to…
Mastering SEC Compliance in 2025: Navigate Challenges & Secure Your Firm’s FutureFebruary 12, 2025Navigating SEC compliance in 2025 is becoming more complex as regulatory scrutiny intensifies and expectations evolve. Whether you’re an investment adviser, broker-dealer, or financial institution, staying compliant requires a proactive approach to risk management, cybersecurity, financial reporting, and audit preparation.…
Key SEC Examination Priorities for 2025November 6, 2024As we approach 2025, it’s essential for firms to stay informed about the SEC's examination priorities, which continue to evolve. While many priorities remain consistent with previous years, new focal points have emerged that firms should be aware of. Here’s…
Fact Sheet: FinCEN Issues Final Rule to Combat Illicit Finance and National Security Threats in the Investment Adviser SectorAugust 28, 2024The Financial Crimes Enforcement Network (FinCEN) has introduced a final rule aimed at safeguarding the investment adviser sector from illicit finance activities, including exploitation by criminals, foreign adversaries, and other threats related to money laundering and terrorism financing. This rule now classifies certain registered investment…
Regulatory Notice 24-09: FINRA’s Guidance on Generative AI and Large Language ModelsJuly 24, 2024Published on June 27, 2024, FINRA Regulatory Notice 24-09 provides key reminders for member firms using Generative AI (Gen AI) and Large Language Models (LLMs) in their operations. While these technologies offer significant potential to enhance services and efficiency, firms…
