Julie DiMauro14 min listen
Vlada Gurvich4 min read
Vlada Gurvich4 min read
This includes at a minimum:
The compliance industry group requested early rule input opportunities, minimization of rule ambiguity and overlap, and cognizance of compliance costs.
Alexander Barzacanos1 min read
Disciplinary decisions issued May 31 – June 6, 2025.
Thomas Hyrkiel2 min read
Valerie talks about her experience in securities enforcement matters, SEC's 'back to basics' approach, her work in-house and what she learned working at NASAA.
Jean Hurley4 min read
Disciplinary decisions issued May 24 – 30, 2025.
Thomas Hyrkiel1 min read
FINRA alleged that influencers’ communications were not fair and balanced and included misleading or unwarranted statements.
Julie DiMauro3 min read
Disciplinary decisions issued May 17 – 23, 2025.
Thomas Hyrkiel3 min read
Disciplinary decisions issued May 10 – 16, 2025.
Thomas Hyrkiel3 min read
Industry weighs in on FINRA rules requiring member firms to oversee their associated persons’ outside activities.
Julie DiMauro6 min read