Insights & Resources
News & Regulatory Alerts
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Monthly Regulatory Summary (April 2024)
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Regulatory News Update: SEC Marketing Rule Risk Alert
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SEC Charges Five More Investment Advisers for Marketing Rule Violations
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Monthly Regulatory Summary (March 2024)
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Regulatory News Update: SEC Charges Investment Advisers with Advisers Act Violations for AI Statements
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Monthly Regulatory Summary (February 2024)
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Regulatory News Update: Deadline Approaching for Certain Proprietary Trading Broker-Dealers to Join FINRA via the Short-Form Membership Application Process
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Monthly Regulatory Summary (January 2024)
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Regulatory News Update: FinCEN Notice of Proposed Rulemaking for Registered Investment Advisers and Exempt Reporting Advisers
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Regulatory News Update: Proposed Amendment to FINRA 3240 (Borrowing From or Lending to Customers)
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Compliance Highlight: FINRA Issues 2024 Regulatory Oversight Report
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Monthly Regulatory Summary (December 2023)
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Regulatory News Update: SEC Adopts New Rule Enhancing Short Sale Disclosure
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Regulatory News Update: SEC Sweep Initiative Targeting AI-Driven Investment Advisers
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Monthly Regulatory Summary (November 2023)
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Regulatory News Update: New FINRA “Residential Supervisory Location” (RSL) Approved by SEC
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Regulatory News Update: FINRA Voluntary Remote Inspection Pilot Program Approved by the SEC
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Monthly Regulatory Summary (October 2023)
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Regulatory News Update: SIPC Nearing Launch of Broker-Dealer Portal
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Regulatory News Update: SEC Publishes 2024 Exam Priorities
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Monthly Regulatory Summary (September 2023)
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Regulatory News Update: Citadel Prepared to Take Legal Action Against SEC Amid WhatsApp Probe
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News Update: SEC Provides Road Map for Investment Advisory Firm Examinations
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Regulatory News Update: SEC Probes Investment Adviser Electronic Communications
