After decades of trying to make the shift, Regulation E-Delivery aims to end the opt-in requirement for receiving electronic investor information.
FINRA Rule 3130
A chief executive officer of a member firm must certify annually that the member has in place processes to establish, maintain, review, test and modify written compliance policies and written supervisory procedures reasonably designed to achieve compliance with applicable FINRA rules.
Overview
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Further Reading
FINRA has advanced two major proposals amending the rule on communications with the public, articulating a risk-based framework for communication review.
Practical guidance for UK firms navigating US SEC authorization and FINRA compliance, including best practices and tips.
The changes would allow more retakes within a shorter span of time.
Fintech and compliance: A unique startup's journey from concept and product development to FINRA approval and registration.
Disciplinary decisions issued June 12 – 26, 2026.
Recommendations include new overarching enforcement principles, closer CEO involvement, changes to due process, and tighter engagement with regulated member firms.
The skills needed to carry out the compliance function are changing, and to be effective businesses and professionals need to understand how.
