In our recent quarterly webinar, Smarsh and Eversheds Sutherland unpacked the regulatory trends that shaped the start of 2025. From enforcement priorities to AI governance and crypto oversight, ...
Earlier this month, FINRA closed the public comment period for Regulatory Notice 25-4: “Modernizing FINRA Rules, Guidance, and Processes for the Organization and Operations of Member Workplaces.” ...
YOU BETTER CHECK YOURSELF - BEFORE YOU WRECK YOURSELFEnd of Year Compliance Requirements For Broker DealersAs the end of 2014 quickly approaches, this Compliance Bulletin serves as a notice and ...
The Gift That Keeps on Giving…..
In early 2014, FINRA and SEC regulated firms caught a glimpse of regulatory focus in the form of targeted examination “sweep” letters focused on ...
Earlier this month, FINRA and the SEC issued their exam priorities for 2015. Both agencies continue to pinpoint cybersecurity as a top priority for 2015. Although these priority letters serve as ...
Today, there is a new paradigm of regulatory expectations, creating increasingly daunting compliance and operational risk management challenges on FINRA registered broker-dealers. Many of these ...
With compliance processes driven largely by regulatory requirements, the financial services sector could be forgiven for breathing a sigh of relief under the deregulatory bent of the ...
Monthly Regulatory Summary
As the regulatory landscape is constantly evolving, Compliance Risk Concepts (“CRC”) is issuing its monthly review and summary of FINRA, SEC, and NFA notices and ...
As the regulatory landscape is constantly evolving, Compliance Risk Concepts (“CRC”) is issuing its monthly review and summary of FINRA, SEC, and NFA notices and bulletins to assist our clients ...
In an order dated July 30, 2021, the SEC approved the adoption of new FINRA Rule 4111 and Rule 9561 and the amendment of Rule 9559. FINRA has extended the effective date for the proposed rule ...
As the regulatory landscape is constantly evolving, Compliance Risk Concepts (“CRC”) is issuing its monthly review and summary of FINRA, SEC, and NFA notices and bulletins to assist our clients ...
As the regulatory landscape is constantly evolving, Compliance Risk Concepts (“CRC”) is issuing its monthly review and summary of FINRA, SEC, and NFA notices and bulletins to assist our clients ...