I recently had the opportunity to assist the Alternative & Direct Investment Securities Association (ADISA) with a comment letter to the Securities and Exchange Commission concerning the SEC’s proposed reforms for federal preemption of registered offerings.
Exchange-listed securities generally benefit
The Financial Industry Regulatory Authority, Inc. (FINRA) posts the disciplinary actions it took to an online database. It also publishes a monthly summary of these actions, which is a worthwhile read for those in the industry—if only for insight
The Financial Industry Regulatory Authority, Inc. (FINRA) posts the disciplinary actions it took to an online database. It also publishes a monthly summary of these actions, which is a worthwhile read for those in the industry—if only for insight
Artificial intelligence is moving into the workplace at a remarkable pace. Depending on who you ask or the day, it is either going to revolutionize business or end civilization. The truth, as usual, is probably somewhere in the middle. What
Law and Order – May 2026: The Comfort Crisis
The Financial Industry Regulatory Authority, Inc. (FINRA) posts the disciplinary actions it took to an online database. It also publishes a monthly summary of these actions, which is a worthwhile
I have written a fair amount over the years about SEC examinations, FINRA enforcement actions, compliance programs, and the various ways regulators can complicate an otherwise pleasant afternoon.
This is not one of those posts.
Instead, I want to revisit
Law and Order – April 2026: A.C.T. Now or Act Later
The Financial Industry Regulatory Authority, Inc. (FINRA) posts the disciplinary actions it took to an online database. It also publishes a monthly summary of these actions, which is
I’ve been around the Consolidated Audit Trail (CAT) long enough to remember when it was still mostly a noun clause and a gleam in a regulator’s eye. Now it is a fully grown animal—expensive, complicated, and the subject of renewed
The Financial Industry Regulatory Authority, Inc. (FINRA) posts the disciplinary actions it took to an online database. It also publishes a monthly summary of these actions, which is a worthwhile read for those in the industry—if only for insight
FINRA’s New Form NMA
Broker-dealers familiar with FINRA’s “filing cabinet” system know it has often been cumbersome. In Regulatory Notice 26-09, FINRA announced enhancements to the Form NMA for applicants seeking FINRA membership before the Membership Application Program (MAP)
