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 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 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Broker Registration For Qualifying M&A Brokers Became Effective On March 29, 2023 (Prior SEC No-Action Relief Has Been Withdrawn) United States Commercial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 25 Jan 2023 FINRA Publishes 2023 Report On Its Examination And Risk Monitoring Program United States Finance
Article 27 Oct 2022 SEC Adopts Amendments To Electronic Recordkeeping Requirements For Broker-Dealers And Security-Based Swap Entities United States Commercial
Article 11 Aug 2022 FINRA And MSRB Propose Shortening Trade Reporting Timeframes For Certain Fixed Income Securities Transactions United States Commercial
Article 26 Apr 2022 SEC Rule Proposal Seeks To Clarify "Dealer" Definition For Persons Engaging In Liquidity-Providing Activities United States Commercial
Article 19 Apr 2022 US Securities And Exchange Commission Division Of Examinations 2022 Exam Priorities United States Commercial
Article 17 Feb 2022 FINRA Publishes 2022 Report On Its Examination And Risk Monitoring Program United States Commercial