FINRA Rule 3130
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World regulators tackle investor fraud lurking in social media
As consumers turn to social media for financial advice, the chances for fraud are a new reality. Global financial regulators have some plans for tackling the problem.
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Halfway through 2026, Valerie Mirko reflects on SEC and FINRA
Mirko explains how the SEC's initiation of a sweeping shift in regulatory policy is affecting regulated businesses, or for the pending changes, how it could.
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GRIP Extra: SCOTUS affirms SEC disgorgement power, EU unveils tech sovereignty package
Our in-brief roundup of notable stories from the last week.
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Video: FINRA Annual 2026 offers spotlight on collaboration and innovation
Deirdre Patten, Director of Saenger Consulting Group, joined GRIP's Julie DiMauro to share their impressions of the 2026 FINRA annual conference, noting the historic turnout this year.
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GRIP Extra: Bank of Canada issues stability report, CFTC clears way for perpetual contracts
Our in-brief roundup of notable stories from the last week.
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Enforcement Watch: May 2026
A regular overview of notable enforcement cases and trends in the US.
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FINRA Annual 2026: Defending markets together
Panel discussion focused on observing isolation as a vulnerability in the modern financial landscape.
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Surveillance trends, regulator supervision, and the role of AI at wholesale banks and brokers
A synopsis of views and advice on current trends, regulatory supervision, and some practical solutions to the latest challenges.
