SEC Unveils New Rules for Annuity Disclosures
The Securities and Exchange Commission (SEC) has recently announced significant [...]
15
07, 2024
15
07, 2024
FINRA Fines and Suspends CFP for Sharing Exam Content
The Financial Industry Regulatory Authority (FINRA) has taken disciplinary action [...]
14
06, 2024
U.S. Court Strikes Down SEC Rule on Private Fund Transparency
In a significant ruling that has sent shockwaves through the [...]
14
06, 2024
FINRA’s Guidance on Chatbots and AI-Generated Content
The rapid adoption of generative artificial intelligence (AI) has revolutionized [...]
14
06, 2024
Financial Firm Fined $250k for Inadequate Supervision of Social Media Influencers
The Financial Industry Regulatory Authority (FINRA) has recently censured a [...]
20
05, 2024
The Future of Regulation: FINRA 2024 Takeaways
The 2024 FINRA Annual Conference provided a wealth of information [...]
16
05, 2024
SEC and FinCEN Propose Customer Identification Rules for Investment Advisors
The U.S. Securities and Exchange Commission (SEC) and the Financial [...]
16
05, 2024
Firm Fined Over $700,000 for Regulatory Violations
In a recent development, the Financial Industry Regulatory Authority (FINRA) [...]
11
04, 2024
FINRA Intensifies Enforcement of Reg BI
In a recent settlement with the Financial Industry Regulatory Authority [...]
11
04, 2024
SEC & FINRA Cracking Down on Texting Violations
SEC and FINRA Impose Heavy Fines for Texting The Securities [...]
