Tag: FINRA

Corlytics, a regulatory intelligence and risk analytics firm, has published its Q1 2026 enforcement report, revealing that global regulators issued approximately $542m in fines...

If you work in surveillance, records or risk at a financial services firm operating in or adjacent to the EU, you have probably spent...

Artificial intelligence is reshaping how organisations operate, and with that transformation comes an entirely new category of workplace interaction: AI communications, or "aiComms". According to...

When a newly registered representative joins a broker-dealer firm, the compliance clock starts ticking immediately. In many organisations, it can take two to three...

Generative AI has transitioned rapidly from an experimental curiosity to a core operational tool across financial services. According to Saifr, firms are now deploying...

AI is no longer a future consideration for financial services firms — it is already reshaping how they manage compliance, supervision, and digital communications. According...

The US Securities and Exchange Commission (SEC) approved amendments to FINRA's Rule 3220 in February 2026, raising the annual gift limit from $100 to...

AI-driven supervision has rapidly become embedded across financial services. Recent industry research shows that 94% of firms are either already using or actively planning...

The release of the 2026 Annual Regulatory Oversight Report by the Financial Industry Regulatory Authority (FINRA) sets out the regulator’s examination and enforcement priorities...

Zeidler Group has urged asset managers to treat the SEC’s latest Marketing Rule FAQs as a targeted clarification rather than a market-moving change, arguing...