Blog

FINRA sweeps provide unique value. In this blog, I explain why and provide examples for their use in a well-rounded compliance...

Here's my Q2 regulatory roundup from the SEC and FINRA: there's continued focus on crypto, recordkeeping, Reg BI, and consumer...

Regulatory exams can be stressful and complex. Here's a simple breakdown of FINRA's updated cycle exam program to help firms...

Regulation best interests and off-channel communications were hot topics at the 2023 FINRA Annual Conference.

As AI transforms the financial industry, regulators are working to keep up, balancing innovation and consumer protection.

Regardless of the regulatory future, firms need to be prepared to be examined and investigated for their digital engagement...

Securities regulators have begun using AI to predict risk, determine which entities to examine, and aid investors and customers.

As regulations evolve, it’s important to stay up to date. Here are findings from the SEC and FINRA that caught my eye in Q1 2023.

Looking into 2023, we expect that regulations will be shaped by factors including crypto, ESG, the SEC’s new marketing rule, and...