The beginning of 2026 not only brought “Snowcrete” to the Washington D.C. area, but a flurry of regulatory action from FINRA. FINRA issued several notable regulatory updates that, among other changes, seek to modernize the standards concerning communications
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Law and Order – February 2026
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
Law and Order – January 2026
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
Douglas Adams Meets FINRA and the SEC . . . Really
Law and Order – December 2025
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
6 Tips for Writing Supervisory Procedures – The ABCs
Procedures are the backbone of any compliance program
SEC Rule 206(4)-7(a) requires registered investment advisers to implement written policies and procedures reasonably designed to prevent violation of the Investment Advisers Act of 1940 and related rules. Similarly, under FINRA Rule
December at the SEC: DTC Tokenization Pilot and Marketing Rule Risk Alert
As 2025 concluded, recent Securities and Exchange Commission development further highlighted significant shifts in its priorities. Beyond Staff’s most recent Examination Priorities Report, two actions stand out: its recent No Action Letter to The Depository Trust Company and its
He Has a Degree in What?
The Bachelor of Science degree that I earned from the University of Maryland is in … architecture. No, not English, philosophy or any of a number of fields that feature analysis and writing, but architecture. My family sometimes chuckles
Law and Order – November 2025
The Financial Industry Regulatory Authority, Inc. (FINRA) posts the disciplinary actions it has taken to its online database. It also publishes a monthly summary of these actions, which is a worthwhile read for those in the industry – if
Lessons from the Marine Corps Marathon
The last time that I participated in “Show and Tell” had to have been in Ms. Duhamel’s class at Patton Elementary a long time ago. A very long time. Yet there I was at a recent ProVisors meeting, asked to