SEC Proposes Regulation Crypto Assets: What Firms Should Know
33-11434Download The U.S. Securities and Exchange Commission (SEC) has proposed a significant new regulatory framework for certain crypto asset offerings.…
FINRA Seeks Comment on Modernizing Best Execution Guidance: What Broker-Dealers Should Know
Regulatory-Notice-26-15Download FINRA is taking a fresh look at how its longstanding best execution guidance should apply in today’s rapidly changing…
FINRA Adopts Amendments to Streamline Capital Formation
SR-FINRA-2026-002-Approval-OrderDownload The Financial Industry Regulatory Authority (FINRA) has announced another milestone in its FINRA Forward initiative with the U.S. Securities…
FINRA Proposes Modernizing Rules for Communications With the Public
Regulatory-Notice-26-14Download The Financial Industry Regulatory Authority (FINRA) has published Regulatory Notice 26-14, requesting industry feedback on a proposal to modernize…
FINRA Reduces Waiting Periods for Retaking Qualification Exams
The Financial Industry Regulatory Authority (FINRA) has adopted a rule change that will significantly reduce the amount of time candidates…
FinCEN Updates Section 314(b) Guidance: What Financial Institutions Need to Know
The Financial Crimes Enforcement Network (FinCEN) has issued updated guidance on how financial institutions may share information under Section 314(b)…