What Are FinOp Services, and Why Are They Essential for Broker-Dealers?May 28, 2025In the intricate world of financial services, broker-dealers operate under stringent regulatory frameworks enforced by entities like the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA). Ensuring compliance with these regulations is not just a legal…
The Benefits of Outsourcing Regulatory Compliance for Small BusinessesMay 14, 2025Navigating the Regulatory Landscape In today's complex business environment, small enterprises face an ever-evolving array of regulatory requirements. From data protection laws to industry-specific mandates, ensuring compliance is both critical and challenging. For many small businesses, managing these obligations in-house…
Top Challenges in SEC Compliance and How to Overcome ThemApril 23, 2025As we progress into 2025, financial firms grapple with an increasingly complex regulatory landscape. The Securities and Exchange Commission (SEC) is intensifying its focus on various compliance domains, making it essential for broker-dealers, investment advisers, and financial institutions to proactively…
Why Regulatory Compliance Consulting Is Critical for Financial FirmsApril 16, 2025In today's rapidly changing regulatory landscape, financial firms face immense pressure to maintain compliance while pursuing growth. Navigating SEC and FINRA oversight alongside ensuring internal procedures meet current laws has made the compliance environment more intricate than ever. This is…
FINRA Requests Comment on Capital Formation Modernization – Regulatory Notice 25-06April 4, 2025regulatory-notice-25-06Download FINRA is seeking industry input to help modernize its rules, guidance, and operational processes related to capital formation. Regulatory Notice 25-06 outlines a broad review initiative aimed at identifying ways to support more efficient capital-raising activities, especially for small…
FINRA Regulatory Notice 25-04: Reimagining the Modern Workplace and Capital Formation RulesMarch 31, 2025Regulatory-Notice-25-04Download FINRA is seeking public comment on a sweeping modernization initiative that will reshape regulatory obligations for member firms and associated persons in light of today’s evolving business models and technologies. This notice marks the beginning of a broad review…
FINRA Regulatory Notice 25-05: Streamlining Outside Activity Rules for Associated PersonsMarch 31, 2025Regulatory-Notice-25-05_1Download FINRA has released Regulatory Notice 25-05, inviting public comment on a proposal aimed at reducing compliance burdens tied to outside business activities (OBAs) and private securities transactions (PSTs). The proposal seeks to consolidate FINRA Rules 3270 and 3280 into…
The Role of Regulatory Compliance Consulting in Navigating Complex RegulationsFebruary 19, 2025For financial institutions, navigating complex financial regulations is more challenging than ever. The SEC and Self Regulatory Organizations such FINRA and NFA continuously update their regulatory framework, requiring firms to stay ahead of evolving compliance requirements. Without a clear strategy,…
Key Compliance Priorities: Navigating the 2025 FINRA Regulatory Oversight ReportFebruary 13, 2025The 2025 FINRA Annual Regulatory Oversight Report identifies critical compliance priorities and emerging risks that broker-dealers, investment advisers, and financial institutions must address to stay compliant. To maintain compliance in this evolving landscape, firms must proactively strengthen their frameworks to…
Mastering SEC Compliance in 2025: Navigate Challenges & Secure Your Firm’s FutureFebruary 12, 2025Navigating SEC compliance in 2025 is becoming more complex as regulatory scrutiny intensifies and expectations evolve. Whether you’re an investment adviser, broker-dealer, or financial institution, staying compliant requires a proactive approach to risk management, cybersecurity, financial reporting, and audit preparation.…
