FINRA

Discussion on the shift to extended hours trading, from the operational to security and surveillance challenges, plus investor and market opportunities.

SEC approves FINRA’s overhaul of OBA rules, easing oversight of low-risk side jobs while preserving scrutiny of investment activities.

Attorneys examine US regulator moves to finalize rules, plus expectations and efforts of the compliance community in preparing for them.

FINRA enforcement activity covering August 22 – September 4.

Smart glasses raise compliance, security, and privacy issues – their use in the workplace should be addressed by HR and compliance teams.

Our in-brief roundup of notable stories from the last week.

Disciplinary decisions issued August 1 – 21, 2026.

Our in-brief roundup of notable stories from the last week.