The supervisory control system must:
For firms reporting $200m or more in gross revenues in calendar year (n) a report in calendar year (n+1) must be submitted to senior management, which must include, for year (n):
Initiatives aim to improve the effectiveness and efficiency of supervision.
Julie DiMauro2 min read
FINRA identified the modern workplace as an initial area of focus for its latest review, asking for specific comments from member firms.
Julie DiMauro3 min read
Disciplinary decisions issued March 29 – April 4, 2025.
Thomas Hyrkiel2 min read
Federal financial markets regulation is being relaxed. Will the states take up the slack?
Alexander Barzacanos3 min read
We kick off coverage of the recent SIFMA C&L conference with a report on SEC Acting Chair Mark Uyeda's opening remarks.
Alexander Barzacanos5 min read
Disciplinary decisions issued March 22 – 28, 2025.
Thomas Hyrkiel4 min read
Disciplinary decisions issued March 15 – 21, 2025.
Thomas Hyrkiel3 min read
Disciplinary decisions issued March 8 – 14, 2025.
Thomas Hyrkiel1 min read