SEC Reg BI
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NASAA adopts model rule update to incorporate Reg BI at state level
The model rule significantly scales back a version from 2023 that industry participants said created new compliance obligations.
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FINRA disciplinary action update 2025/13
Disciplinary decisions issued March 29 – April 4, 2025.
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SIFMA C&L 2025 Recap: The future of US state regulation
Federal financial markets regulation is being relaxed. Will the states take up the slack?
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FINRA disciplinary action update 2025/11
Disciplinary decisions issued March 15 – 21, 2025.
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FINRA disciplinary action update 2025/9
Disciplinary decisions issued March 1 – 7, 2025.
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FINRA disciplinary action update 2025/6
Disciplinary decisions issued February 8 –14, 2025.
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FINRA disciplinary action update 2025/5
Disciplinary decisions issued February 1 – 7, 2025.
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FINRA disciplinary action update 2025/4
Disciplinary decisions issued January 25 – 31, 2025.