Latest Publications


FINRA Proposes Transformative Rule on Outside Business Activities

On Feb. 26, the Financial Industry Regulatory Authority issued Regulatory Notice 18-08 seeking comment on a proposed new rule to address outside business activities of registered persons. The proposal, a result of FINRA’s...more

Cybersecurity: FINRA Guidance through 2018 Priorities and Recent Exam Findings

The Financial Industry Regulatory Authority (FINRA) is ramping up on their commitment to assist the industry in its cybersecurity compliance efforts. Recent guidance to the industry from FINRA includes: - an Examination...more

SEC 2018 National Exam Program Examination Priorities

On Feb. 7, the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) released its 2018 National Exam Program Examination Priorities (NEPEP). The NEPEP are organized around five themes,...more

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