SERC’ling Up is your resource for staying ahead in today’s fast-evolving financial landscape. This newsletter delivers perspectives on the latest enforcement trends, regulatory updates and high-stakes developments affecting...more
12/12/2025
/ Anti-Money Laundering ,
Artificial Intelligence ,
Cryptoassets ,
Cybersecurity ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Services Industry ,
Market Manipulation ,
Popular ,
Regulatory Oversight ,
Reporting Requirements ,
Risk Management ,
The GENIUS Act ,
Third-Party Service Provider
SERC’ling Up is your resource for staying ahead in today’s fast-evolving financial landscape. This newsletter delivers perspectives on the latest enforcement trends, regulatory updates and high-stakes developments affecting...more
11/21/2025
/ Broker-Dealer ,
Cybersecurity ,
Digital Assets ,
Enforcement Priorities ,
Financial Services Industry ,
FinTech ,
Investment Adviser ,
Investment Products ,
Regulatory Oversight ,
Risk Management ,
SEC Examination Priorities ,
Securities and Exchange Commission (SEC) ,
Securities Regulation
On October 21, 2025, the New York State Department of Financial Services (NYDFS) released comprehensive guidance for registrants regarding management of cybersecurity risks associated with third-party service providers...more
11/21/2025
/ Cloud Computing ,
Contract Terms ,
Cybersecurity ,
Financial Services Industry ,
New Guidance ,
NYDFS ,
Policies and Procedures ,
Regulatory Requirements ,
Risk Management ,
Third-Party Risk ,
Third-Party Service Provider
In a move to balance regulatory efficiency and cost, the U.S. Department of the Treasury’s Financial Crimes Enforcement Network (“FinCEN”) officially announced on July 21, 2025, that it will postpone the effective date, from...more
The Financial Industry Regulatory Authority’s (FINRA’s) 2025 Annual Regulatory Oversight Report provides member firms with key insights and observations from its regulatory operations programs. The report covers fixtures such...more