For 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,…

The 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…

Navigating 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.…

As 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…

The 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…

Published 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…

FINRA has informed member firms  that the Options Clearing Corporation has released the June 2024 Options Disclosure Document (ODD). The ODD provides investors with essential information about the features and potential risks of trading standardized options. The June 2024 Options…

Are you looking for updates on the Residential Supervisory Location (RSL) Designation? FINRA recently released an updated FAQ about RSLs. These FAQs offer a quick go-to guide for broker-dealers who want to use the RSL designation. The first day firms…

FINRA Adopts Amendments to Improve the Accessibility of Order Routing Disclosures for NMS Securities Background and Discussion Exchange Act Rule 606(a) was implemented by the U.S. Securities and Exchange Commission (SEC) to promote transparency in the securities industry. Under this…

New SEC Rules and Amendments Shorten the Standard Securities Transaction Settlement Cycle to T+1 The Securities and Exchange Commission (SEC) recently implemented new rules and amendments that aim to shorten the standard securities transaction settlement cycle to T+1. This means…