FINRA
FINRA's 2025 Examination Priorities: What Broker-Dealers Need to Know Now
FINRA's 2025 examination priorities signal heightened focus on AML beneficial ownership gaps, Reg BI care obligation documentation, and cybersecurity governance. Compliance officers should act now.
SEC · Reg BI
Regulation Best Interest: Enforcement Trends and What They Signal for 2025
The SEC's enforcement posture on Reg BI has sharpened. Care obligation failures, conflict of interest disclosure gaps, and Form CRS deficiencies are drawing formal action — and 2025 raises the stakes further.
SEC · Investment Advisers
The SEC Marketing Rule at Three Years: Compliance Gaps Still Drawing Scrutiny
Rule 206(4)-1 has been in effect for over two years. SEC examiners have found consistent gaps in testimonial disclosure, performance advertising standards, and hypothetical performance policies.
AML/BSA · FINRA
AML Independent Testing for Broker-Dealers: Meeting the Standard
FINRA Rule 3310(c) requires independent testing — but what independence actually means, who can perform it, and what scope is required are frequently misunderstood by compliance programs across firm types.