SEC Reveals Top Exam Priorities for 2023
By Melanie WaddellThe new Marketing Rule is one compliance area that tops the list.
January 10, 2023
4 Top FINRA Exam Priorities in 2023A new FINRA report alerts BDs on areas where their compliance efforts might need a bit of beefing up.
November 23, 2022
4 New SEC Rules to WatchThe agency has proposed and adopted several "significant" new rules in the past few weeks, its Investment Management chief says.
November 15, 2022
Reg BI Remains Top Priority for 2023 ExamsAt the SEC's National Compliance Seminar, exam chief Richard Best gave a preview of some priorities for next year.
November 04, 2022
More Reg BI Cases in the Pipeline, FINRA Chief WarnsFINRA CEO Robert Cook urged firms to beef up their Reg BI compliance.
October 31, 2022
Alaska Updates Annuity Sales StandardsThe fall elections could affect state suitability update efforts in 2023.
October 12, 2022
FINRA Issues First Reg BI-Related FineA sanctioned ex-broker recommended trades that were "excessive in light of the customer's investment profile," FINRA said.
October 07, 2022
Get Ready: FINRA's New CE Rules Start in JanuaryThe regulatory element will now be an annual requirement — and will likely zero in on Reg BI.