Tag Archives: Broker-Dealer Compliance

What Does FINRA’s Independent Enforcement Review Mean for Your Firm?

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Key Question What does FINRA’s recently released independent review of its Enforcement Program mean for broker-dealers, and should firms make changes now? Our View Although the report does not establish … Continue reading What Does FINRA’s Independent Enforcement Review Mean for Your Firm? →

What Chairman Atkins’ FINRA Conference Speech Means for Broker-Dealers and Investment Advisers

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Key Question: What are the practical implications of SEC Chairman Paul Atkins’ May 2026 FINRA Conference remarks emphasizing regulatory cooperation and modernization? Answer: The remarks signal a shift in regulatory … Continue reading What Chairman Atkins’ FINRA Conference Speech Means for Broker-Dealers and Investment Advisers →