Regulatory compliance is an ongoing responsibility for broker-dealers, registered investment advisers, and other regulated financial firms. From supervisory procedures and regulatory reporting to risk assessments and examination preparation, maintaining an effective compliance program requires specialized knowledge, reliable processes, and consistent…

ESG compliance has become an increasingly important component of regulatory compliance in financial services. Firms are now expected to integrate environmental, social, and governance (ESG) factors into their business strategies, risk management frameworks, and reporting practices. As ESG regulations continue…

Overview of FINRA’s 2025 Enforcement Landscape A recent industry analysis of FINRA disciplinary actions highlights a shift in enforcement trends throughout 2025. According to the 2025 sanctions study, the regulatory environment is becoming more targeted, with fewer cases overall but…

Cybersecurity compliance in financial services has become a critical component of regulatory compliance in financial markets. As cyber threats continue to evolve, financial institutions must implement robust controls to protect sensitive client data, maintain operational resilience, and meet regulatory expectations…

Broker-dealers play a critical role in the functioning and stability of modern financial markets. Acting as intermediaries between investors and the securities markets, broker-dealers facilitate the buying and selling of securities, support capital formation, and contribute to market liquidity. Because…

Many broker-dealers believe they are compliant because their policies and procedures are documented, approved, and filed. On paper, everything appears complete. Increasingly, however, regulators are focused on how compliance programs actually function day-to-day — not simply how they are written…

Broker-dealers remain one of the foundational pillars of the modern financial system. They facilitate securities transactions, provide liquidity, support price discovery, and serve as the critical link between investors and the capital markets. Without strong broker-dealer services, market efficiency, transparency,…

Stay Ahead of SEC Expectations in 2026 The SEC’s 2026 Regulatory Oversight Report provides a clear roadmap of where examiners and enforcement staff are focusing their attention. For broker-dealers, investment advisers, and hybrid firms, understanding these priorities is essential to…

The SEC’s Division of Examinations has published its 2026 Examination Priorities, outlining the agency’s key focus areas for RIAs and Broker-Dealers. This year’s priorities reinforce the SEC’s emphasis on investor protection, risk management, technology oversight, and compliance with recently adopted…