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Latest News
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FINRA disciplinary action update 2025/17
Disciplinary decisions issued May 3 – 9, 2025.
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FINRA addresses collateral consequences of SEC recordkeeping enforcement
Public interest and investor protection cited as reasons to more closely align ongoing membership obligations by firms settling at different times.
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FINRA monitoring evolving third-party vendor landscape
Information on third-party vendors is used by FINRA in proactive outreach to member firms including alerts and guidance.
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Hacker exploits TeleMessage vulnerability – cybersecurity in the spotlight
A vulnerability in TeleMessage was reportedly exploited to extract archived messages and other data relating to US government officials and companies.
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Inside the SEC’s third crypto roundtable
The SEC’s third roundtable on crypto regulation highlighted growing consensus on investor protection, but also exposed deep divisions over custody frameworks and the role of self-custody in an evolving market.
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SEC Exams in 2025: A practical playbook for private fund advisers
SEC exams are likely to stay just as rigorous, if not become even more detail-oriented.
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Citadel Securities gives SEC a wish list for rule changes, more clarity
Citadel Securities released a white paper laying out policy recommendations for the SEC and exchanges it regulates.
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FINRA disciplinary action update 2025/15
Disciplinary decisions issued April 19 – 25, 2025.