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…
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What FINRA’s 2026 Oversight Report Signals for Surveillance, Market Abuse, and “Whole Program” Control
FINRA’s 2026 Annual Regulatory Oversight Report is not a list of new rules; it is a practical map of where breakdowns keep happening, and what FINRA…
Industry Update for Broker-Dealers
SEC Eases Long-Standing Global Research Settlement Restrictions The Securities and Exchange Commission SEC has formally agreed to ease the long-standing restrictions imposed under the early-2000s Global Research Analyst Settlement,…
SEC 2026 Examination Priorities
A Back-to-Basics Agenda with Familiar Risks Ahead What Compliance Teams Need to Know The Securities and Exchange Commission’s (SEC) Division of Examinations has released…
The Tokenization Shift Has Gone Mainstream And Compliance Can’t Afford To Sit Out
Tokenization, the process of issuing traditional financial assets such as equities, funds, or real estate on blockchain infrastructure, has quietly moved from theoretical to…
A Transatlantic Benchmark For Digital Finance
U.S. and U.K.
When Market Momentum and Compliance Collide
Unusual Trading Ahead of Crypto-Treasury Deals Draws Regulatory Scrutiny The announcement of Project Crypto by the Securities and Exchange Commission (SEC) Chairman Paul Atkins in July signaled…
Turning Compliance Into A Global Advantage
The Global-Local Demands of Compliance Officers Global firms face an ongoing challenge: how to maintain consistency across their compliance programs while adapting to the…
Project Crypto: The SEC’s Regulatory Reboot for the Digital Asset Era
In the constantly shifting landscape of crypto regulation, clear leadership and forward-thinking policies are more essential than ever. On July 31, 2025, U.S.