FINRA
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GRIP Extra: AMLA begins groundwork for direct supervision, White House unveils federal AI framework
Our in-brief roundup of notable stories from the last week.
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FINRA opens broad review of arbitration process
The move signals an impending reboot of an often-criticized system.
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The GRIP Files: Alexander Cohen
Alex tells us about representing clients before the SEC, FINRA, and state securities regulators and shares his experiences dealing and working with senior regulatory figures.
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Apex and SEC battle over firm’s off-channel comms settlement
Apex argues that by applying substantially less burdensome undertakings on other similarly charged firms the SEC has breached administrative law.
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GRIP Extra: Anthropic clashes with Pentagon, OCC proposes GENIUS Act implementation rules
Our in-brief roundup of notable stories from the last week.
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Tied with a bow: FINRA’s gift limit goes from $100 to $300
The rule is designed to avoid conflicts of interest, which can arise when a gift is given to a client or vendor in the hope of strengthening a business relationship.
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FINRA disciplinary action update 2026/5
Disciplinary decisions issued February 7 – 20, 2026.
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GRIP Extra: SEC proposes N-PORT scalebacks, OCC proposes appeals board
Our in-brief roundup of notable stories from the last week.