Real FINRA notices and SEC rule changes, broken down into what actually changes for your firm's policies, filings, and exams — not a reprint of the notice itself.
The SEC sued the biggest proxy adviser in America to force compliance with its own exam. The escalation path it climbed — routine request to Enforcement inquiry to federal court — is one any registered adviser can climb too.
Read More →The SEC and CFTC extended the Form PF compliance date from October 1, 2026 to July 1, 2027 — the fourth extension since 2024. Here's why, and what it does and doesn't mean for filers.
Read More →The SEC charged 38 entities for filing fraudulent Forms ADV to fake legitimacy as U.S. investment advisers. Here's what the sweep actually found, and what it means for real RIAs and ERAs.
Read More →Two real SEC enforcement stats are circulating for 2026 — here's what each one actually measures, plus two other findings from our free 2026 Compliance Guide.
Read More →Regulation Crypto Assets would create two new offering exemptions, a safe harbor out of "investment contract" status, and state law preemption — here's what it means even if you don't have crypto clients today.
Read More →The SEC formally proposed rescinding Rule 206(4)-5 in its entirety on September 3, 2026 — but the current pay-to-play rule, thresholds and all, is still fully in effect. Here's what firms with government clients need to know now.
Read More →FinCEN's final rule ending BOI reporting for U.S. companies took effect today — here's what changed, what's still required for foreign reporting companies, and why it's not the same as your CDD Rule obligations.
Read More →A failed licensing exam costs more than a retest fee — it costs weeks of delayed productivity. Here's how AI-powered tutoring like TotalGenius is changing the exam prep equation.
Read More →FINRA's 2026 conference framed cyber, crypto, and financial crime as one converging threat instead of three separate problems — here's what firms that missed it need to take away.
Read More →A new proposal would replace the requirement that a principal approve every retail communication before it's used with a risk-based supervisory standard built for AI and social media. Comments are due September 11, 2026.
Read More →FINRA's Residential Supervisory Location rule lets firms treat a supervisor's home as a non-branch location — but only if the firm, the person, and the location all clear a specific set of conditions.
Read More →Prompted by the SEC's proposal to rescind the Reg NMS trade-through rule, FINRA is asking firms to weigh in on how best execution guidance should evolve. Comments are due September 25, 2026.
Read More →The SEC's Regulation S-P deadlines for larger and smaller entities have both passed — here's what examiners are actually looking for in an incident response program, and where firms tend to fall short.
Read More →FINRA's enhanced New Member Application went live in April and the legacy version retired July 15, 2026. Every new membership filing now runs through the new form.
Read More →The first increase to the Gifts Rule limit since 1992 does more than raise a number — it codifies years of guidance directly into rule text. Here's what your WSPs need to reflect.
Read More →FINRA has fully retired the day trading margin requirements in favor of a new intraday margin standard. Here's how the new framework actually measures risk.
Read More →CABs can now represent both sides of a deal, handle secondary trades between institutions, and accept equity as compensation. Here's what the amended rules actually permit.
Read More →FINRA reminds firms with overseas operations, personnel, or records that foreign secrecy laws are not a valid excuse for failing to comply with an information request.
Read More →Proposed rule changes would extend temporary holds to 145 business days and create a new five-day fraud delay tool that applies to investors of any age.
Read More →The 2026 Renewal Program introduced a tiered Annual System Processing fee based on how many regulators each rep is registered with. Here's how to budget for it.
Read More →Firms no longer need FINRA staff pre-clearance before sending negative consent letters for bulk account transfers. Here's what still has to be in the letter.
Read More →Firms that are both a broker-dealer and an investment adviser can now report bond order allocations to managed accounts in a single aggregate TRACE report.
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