Insights & Resources
Jeff Gearhart
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How to operate in digital assets while the regulations evolve
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Your Firm and AI: Governance, Data, and Compliance
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The Realities of AI Implementation: What Every Firm Needs to Know
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Reg SCI Compliance: How to Prepare for Your Annual Audit
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Walking the AI Tightrope: AI Compliance Strategies for Wealth Management Firms
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GENIUS Act 2025: Key Takeaways for Wealth Management Firms
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The Power and Potential of Artificial Intelligence in Financial Services
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SEC Withdraws Appeal on Treasury Dealer Rule
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Industry Update: T+1, CAT and CAIS Reporting
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How To Launch Your Alternative Trading System (ATS)
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Modernizing FINRA Rule 4210
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SEC Rule 15b9-1 Expands FINRA Oversight
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The Clearing and Custodian Transformation
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The Countdown to T+1 Settlement Cycle Transformation
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SEC Exam Priorities – Trade and Transaction Reporting
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FINRA Registration Update
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Successful FINRA CAT and CAIS Reporting
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Finding Success with CAT CAIS Reporting
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Oyster Experts Featured on BDA Podcast
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Key Steps: Consolidated Audit Trail Funding Model Amendment
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SEC Rule Amendment Impacts Proprietary Trading Firms
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The Essentials – Reg SHO Compliance
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Don’t Get Left Behind – The T+1 Clock is Ticking