Article 10 Sep 2025 SEC Grants No-Action Relief From Rule 17a-4 For Reliance On Central Registration Depository System To Maintain Electronically Signed Form U4 Filings United States Finance
Article 07 Nov 2024 SEC Division Of Examinations Announces 2025 Exam Priorities United States Commercial
Article 09 Oct 2024 FINRA Highlights Increasing Cybersecurity Risks At Third-Party Providers United States Technology
Article 09 Jul 2024 FINRA Reminds Members Of Regulatory Obligations When Using Generative Artificial Intelligence (AI) And Large Language Models United States Technology
Article 01 Mar 2024 SEC Adopts Rules To Require Registration Of Certain Persons Engaging In Liquidity-Providing Activities As "Dealers" And "Government Securities Dealers" United States Commercial
Article 15 Feb 2024 FINRA Announces Effective Dates For Remote Inspections Pilot Program & Residential Supervisory Location Rules; COVID-19 Relief Ends United States Finance
Article 07 Sep 2023 SEC Significantly Narrows Exemption From FINRA Membership For Proprietary Trading Firms United States Commercial
Article 14 Aug 2023 SEC Proposes Rules On Broker-Dealer And Investment Adviser Use Of Predictive Data Analytics And On Internet Investment Adviser Registration United States Compliance
Article 08 Aug 2023 SEC Risk Alert Highlights Observations From Anti-Money Laundering Compliance Examinations Of Broker-Dealers United States Government
Article 07 Aug 2023 Ripple Is Not A Tidal Wave – The SEC's Case Against Terraform Labs Provides A Quick Counterpoint To The Recent Ripple Ruling United States Finance
Article 26 Jul 2023 Defining Digital Asset Securities: US District Court Issues Summary Judgment Rulings In SEC V. Ripple Labs United States Technology
Article 05 Jun 2023 FINRA Releases Updated Guidance For Members Conducting Private Placements United States Finance
Article 18 May 2023 SEC Issues Staff Bulletin Clarifying Care Obligations Of Broker-Dealers United States Strategy
Article 27 Apr 2023 A New Federal Exemption From Broker Registration For Qualifying M&A Brokers Became Effective On March 29, 2023 (Prior SEC No-Action Relief Has Been Withdrawn) United States Commercial
Article 24 Feb 2023 SEC Adopts Final Rules To Shorten Standard Securities Settlement Cycle From T+2 To T+1 United States Commercial