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FINRA fine on broker-dealer spotlights supervisory controls
The broker-dealer was cited for compliance violations, including failures related to Reg BI, email retention, and the supervision of outside business activities.
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SEC enforcement update: Lessons on compensation-driven conflicts
Recent cases highlight the SEC’s continuing focus on how financial incentives influence employee recommendations.
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FINRA disciplinary action update 2025/20
Disciplinary decisions issued May 24 – 30, 2025.
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FINRA disciplinary action update 2025/17
Disciplinary decisions issued May 3 – 9, 2025.
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Your essential guide to the dos and don’ts of Form ADV
Practical tips and advice for compliance officers on how to approach this annual filing with the SEC.
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SEC announces 2024 exam priorities
Guidance on where to focus when preparing for the 2024 SEC exams.
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SEC releases 2024 exam priorities early with focus on emerging risks
Regulator aims to provide earlier insight by aligning publication with the start of its fiscal year.
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FINRA Annual 2023: Enforcement trends and new perspectives
A wide-ranging conversation covered the latest trends in enforcement cases brought or being pursued by the SEC and FINRA.