Q4 2023 regulatory roundup: three things worth talking about
Here are the regulatory actions that caught my eye at the end of 2023: US executive order on AI, SEC proposed PDA rule, and...
Looking ahead: what to expect in 2024
Looking ahead to 2024, this blog explores key trends in the financial services regulatory space, including crypto, robo-advisers,...
Continuing Membership Application (CMA) – newly improved!
Learn how FINRA's MAP transformation and specialized guidance can help you navigate the CMA process with more efficiency and...
Three trends in RegTech shaping the industry right now
The AI boom, the evolving regulatory landscape, and an emphasis on trust and ethics are some of the biggest forces I see shaping...
The SEC exam priorities: insight into 2024?
The SEC's examination priorities for 2024 include a focus on the marketing rule, emerging technology, best interest regulations,...
What is RegTech?
RegTech is revolutionizing compliance in highly regulated industries like financial services. Here's an explainer on what it is...
My three lessons from NSCP 2023
Here are my three key lessons from NSCP about AI in personal and professional life, the pace of regulatory change, and the...
AI regulations in the EU and US: a tale of two views
The EU and US have different approaches to regulating AI. However, they are working together to develop international AI standards...
What does the SEC’s proposed predictive data analytics rule include?
The SEC's proposed PDA rule addresses potential conflicts of interest but also surfaces a number of complications, reactions to...
FINRA sweeps contain more than you think
FINRA sweeps provide unique value. In this blog, I explain why and provide examples for their use in a well-rounded compliance...
Q2 2023 regulatory roundup: a continued focus on popular themes
Here's my Q2 regulatory roundup from the SEC and FINRA: there's continued focus on crypto, recordkeeping, Reg BI, and consumer...
FINRA’s updated cycle exam program: What you need to know
Regulatory exams can be stressful and complex. Here's a simple breakdown of FINRA's updated cycle exam program to help firms...