Legal Perspectives on Current Regulatory Developments for BDs and IAs https://validator.w3.org/feed/docs/rss2.html Five Individuals Indicted in Insider Trading Scheme SEC Enforcement Highlights Essential Compliance Lessons from Affiliated Loan Transfers Updates on SEC, FINRA, CFTC and more from FiSolve Updates on SEC, FINRA, CFTC and more from FiSolve Updates on FTC, SEC, FINRA, and more from FiSolve When Marketing Meets Compliance: Lessons from the SEC’s First Marketing Rule Case SEC Proposal Could Reframe How Regulatory Burden Is Evaluated for Most RIAs Updates on SEC, FINRA, CFTC and more from FiSolve Updates on SEC, FINRA, CFTC and more from FiSolve Updates on FINRA, SEC, CFTC and more from FiSolve Updates on FINRA, FCA, AI and more from FiSolve Updates on SEC, ESMA and more from FiSolve Updates on SEC, SDNY, FCA and more from FiSolve Updates on SEC, FDIC, FCA and more from FiSolve Updates on SEC, FINRA, FCA and more from FiSolve Updates on SEC, FINRA, CFTC and more from FiSolve Updates on SEC, FCA, AI and more from FiSolve Updates on SEC, CFTC, FINRA, FCA and more from FiSolve Updates on SEC, CFTC, DOJ, ESMA and more from FiSolve Updates on SEC, FinCEN and more from FiSolve Updates on SEC, CFTC, FINRA and more from FiSolve Updates on FINRA, FinCEN and more from FiSolve Updates on SEC, FINRA, FCA and more from FiSolve Updates on SIFMA, FINRA, ESMA and more from FiSolve Updates on FINRA, FCA, SEC and more from FiSolve Updates on SEC, FINRA, FCA and more from FiSolve SEC’s Spring 2025 Regulatory Agenda: Familiar Themes, Expansive Scope New FinCEN AML Rule Brings Investment Advisers Under Bank-Like Scrutiny Updates on AML, SEC, GENIUS Act, ESMA and more from FiSolve Updates on DiFi, Crypto and more from FiSolve Updates on the SEC, Executive Order on Retirement Plans, FCA, EFRAG and more from FiSolve Updates on SEC, CFTC, Crypto and more from FiSolve SEC Action Highlights Compliance Risks in Fee and Expense Practices Updates on SEC, CFTC, Crypto and more from FiSolve Judge Margaret Ryan New SEC Director of Enforcement and More Updates from FiSolve Updates on the SEC, ESMA, Courts and more from FiSolve SEC Enforcement Update: Lessons on Compensation-Driven Conflicts Updates on SEC, CFTC, Cyber and more from FiSolve FiSolve’s Weekly Financial and Regulatory Updates — June 20, 2025 SEC Chair Paul Atkins Sets Pro-Innovation Tone in First Public Remarks SEC’s Division of Examinations 2025 Priorities SEC Charges State Registered Investment Adviser with Cherry-Picking In Congressional Testimony, SEC Chairman Atkins Seeks Flat Budget, Describes Reorganization and Promotes Regional Offices FiSolve’s Weekly Financial and Regulatory Updates — June 13, 2025 FHFA’s Pulte Orders Fannie, Freddie to Financial Action Task Force Identifies Jurisdictions with AML and other Deficiencies SEC Extends Compliance Date on Broker-Dealers Daily Reserve Computation Requirement SEC Division of Economic and Risk Analysis Publishes Comprehensive Broker-Dealer Study  Updates on SEC, CFTC, ESMA and more from FiSolve FiSolve’s Weekly Financial and Regulatory Updates — July 4, 2025