Federal Preemption
I recently had the opportunity to assist the Alternative & Direct Investment Securities Association (ADISA) with a comment…
I recently had the opportunity to assist the Alternative & Direct Investment Securities Association (ADISA) with a comment…
The Financial Industry Regulatory Authority, Inc. (FINRA) posts the disciplinary actions it took to an online database. It also publishes…
The Financial Industry Regulatory Authority, Inc. (FINRA) posts the disciplinary actions it took to an online database. It also publishes…
Artificial intelligence is moving into the workplace at a remarkable pace. Depending on who you ask or the…
Law and Order – May 2026: The Comfort Crisis The Financial Industry Regulatory Authority, Inc. (FINRA) posts the…
I have written a fair amount over the years about SEC examinations, FINRA enforcement actions, compliance programs, and…
Law and Order – April 2026: A.C.T. Now or Act Later The Financial Industry Regulatory Authority, Inc. (FINRA)…
I’ve been around the Consolidated Audit Trail (CAT) long enough to remember when it was still mostly a…
The Financial Industry Regulatory Authority, Inc. (FINRA) posts the disciplinary actions it took to an online database. It also…
FINRA’s New Form NMA Broker-dealers familiar with FINRA’s “filing cabinet” system know it has often been cumbersome. In…
The beginning of 2026 not only brought “Snowcrete” to the Washington D.C. area, but a flurry of regulatory…
The Financial Industry Regulatory Authority, Inc. (FINRA) posts the disciplinary actions it took to an online database. It also…
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