Practical guidance for UK firms navigating US SEC authorization and FINRA compliance, including best practices and tips.
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With this 2026 rulemaking agenda, the SEC teases its ideas around modifying some of its bedrock rules, particularly to accommodate the digital asset sector.
SEC
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Atkins links SEC agenda to US founding principles as nation celebrates 250th anniversary
SEC Chair Paul Atkins framed the Commission’s regulatory direction as a return to the principles of individual liberty and free enterprise.
The changes would allow more retakes within a shorter span of time.
Fintech and compliance: A unique startup's journey from concept and product development to FINRA approval and registration.
Key personnel moves across the regulated industries that we cover.
Our in-brief roundup of notable stories from the last week.
In a recent decision, the US Supreme Court upheld the Federal Communications Commission’s authority to issue forfeiture penalties but required the option for a jury trial to enforce their collection, which now elevates the US Department of Justice’s role in such enforcement actions.