Crypto And Retirement Plans
Department of Labor Rescinds 2022 401(k) Guidance Hardly a day goes by without a seismic shift in global financial regulation, and nowhere is the…
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SEC Signals Regulatory Shift
Crypto FAQs and Custody Guidance Withdrawal On May 15, 2025, the U.S.
What the DOJ’s New Enforcement Memo Really Means for Financial Service Firms
In May 2025, the U.S.
Managing FINRA Compliance In 2025
Aligning with FINRA’s Regulatory Priorities As financial firms navigate an evolving regulatory environment, the 2025 FINRA Annual Regulatory Oversight Report offers crucial insights into FINRA’s…
Changing Up The Playbook
The SEC Under the Direction of Paul Atkins As Donald Trump starts his second presidential term and Gary Gensler prepares to step down, Paul…
Residential Supervisory Locations (RSLs) and Remote Branch Office Exams: Leveraging StarCompliance to Comply with New FINRA Rule
FINRA’s Residential Supervisory Location (RSL) rule allows firms to designate an associated person’s private residence as a non-branch location where certain supervisory activities are…
From Cryptocurrency to the Use of AI: Preparing for the SEC Examination Priorities in 2025
Key Insights and Practical Steps for Employee Compliance As the fiscal year begins, the Securities and Exchange Commission (SEC) has unveiled its 2025 Examination…
A Cautionary Tale For Broker-Dealers
FINRA Charges Firm for Supervisory Failures In October, ViewTrade Securities, a broker-dealer, found itself facing regulatory action by FINRA, worth $40,000 in fines, for…
The Trades Are Coming from Inside the Company
Navigating Insider Trading Through the Power of Compliance Technology In the complex world of financial markets, maintaining compliance with insider trading regulations is crucial…