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Regulatory News Highlights

Regulatory News Highlights

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Our financial services industry insights come from on-the-ground experience, successfully navigating complex challenges and business. Our insights are your opportunities.

Recent Episodes

  • Modernizing FINRA Rule 4210: Impacts to Market Makers and the Role of Automation

    3 weeks ago

  • FINRA Focus Areas: Communications, Reg BI and Complex Products

    1 month ago

  • Broker-Dealer Technology: Tomorrow's Platform Transformation Today

    1 month ago

  • AI in Wealth Management - FINRA, Supervisory Obligations and Protecting Clients

    2 months ago

  • AI in Wealth Management - SEC Actions, Best Interest Rules and Recordkeeping

    2 months ago

  • Cyber Risk Management: Insights for CCOs

    3 months ago

  • SEC Rule 15b9-1 Expands FINRA Oversight: Insights into FINRA Membership Requirements

    4 months ago

  • FINRA AML Expectations - The 2024 Annual Regulatory Oversight Report

    4 months ago

  • Drivers of Change - The Clearing & Custodian Transformation

    5 months ago

  • Compliance Across The Industry - Lookback to 2023

    5 months ago