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Carlton Fields

FINRA Issues 2025 Annual Regulatory Oversight Report

Carlton Fields on

On January 28, 2025, FINRA issued its 2025 Annual Regulatory Oversight Report, providing a detailed look into FINRA’s current regulatory oversight of member firms and their registered personnel....more

Troutman Pepper Locke

2024 State AG Year in Review

Troutman Pepper Locke on

State attorneys general (AGs) continue to play a pivotal role as innovators, shaping the regulatory environment by leveraging their expertise and resources to influence policy and practice. The public-facing nature of AG...more

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