Fixing Broker-Dealer Registration Workflows
Less Friction, Better Visibility, Stronger Control License and registration workflows are still more complicated than they need to be for many broker-dealers.
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The Crypto Rulebook Just Got Clearer
What It Means for Compliance Now On March 17, 2026, the Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC) released long-awaited guidance that brings greater clarity to…
StarCompliance Transforms License & Registration Workflows with Automated FINRA Connectivity
Simplifying FINRA Submissions to Improve Speed, Accuracy, and the Employee Experience Rockville, MD – March 26, 2026 – StarCompliance (Star), a leading provider of employee and firm compliance technology,…
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Crypto Regulations Decoded
Discover key regulatory trends, compliance best practices, and insights to manage the evolving digital marketplace and build a strong employee compliance crypto program with confidence.
Firm Trade Surveillance Under MAR: Expectations Are Rising
Since its introduction in 2016, the EU Market Abuse Regulation (MAR) has set the standard for protecting market integrity, transparency, and investor confidence.
Global Compliance Leaders to Gather at StarCompliance Synergy ’26
London and Washington, DC Events will examine emerging risks and regulatory change Rockville, MD – March 18, 2026 – StarCompliance (Star), a leading provider of employee and firm compliance technology, today…
Crypto Compliance Enters a New Phase in 2026
Crypto compliance is entering a new phase. For the past several years, firms have watched digital asset regulation take shape across major jurisdictions.
FINRA’S Revised Gifts Rule
What the New $300 Limit Means for Compliance Programs In February 2026, the Securities and Exchange Commission approved FINRA’s amendments to Rule 3220, the…
No Longer the Exception: Women Leading the Evolution of RegTech
Much has been written about women “surviving” in the so-called man’s world of technology. I am not interested in survival narratives.
Best Practices for Ensuring Compliance in Employee Crypto Trading
The adoption of cryptocurrencies like Bitcoin, Ethereum, and other digital assets has skyrocketed in recent years, fundamentally reshaping financial markets.
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