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Need an Experienced Broker-Dealer Principal without Hiring in House?

As regulatory expectations continue to evolve, many broker-dealers are finding it increasingly difficult to recruit and retain experienced compliance professionals. Chief Executive Officers (CEO), Chief Compliance Officers (CCO) and Financial and Operations Principals (FinOp) are not only require...

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Need an Experienced Broker-Dealer Principal without Hir...

As regulatory expectations continue to evolve, many broker-dealers are finding it increasingly difficult to recruit and retain experienced compli...

AI in Financial Services: What FINRA and the SEC Are Re...

Artificial intelligence is rapidly transforming the financial services industry - from compliance monitoring and fraud detection to research summ...

SEC Exploring Tokenized Stock Framework as Wall Street ...

The U.S. Securities and Exchange Commission is reportedly preparing a new regulatory framework focused on tokenized stocks, signaling a major ste...

Tokenization, Private Markets, and ATS Growth are Drivi...

A new wave of broker-dealer formation is emerging, driven by: Tokenization Growth in private markets Expansion of alternative trading ...

When Does a Fintech Become a Broker-Dealer?...

Most fintech founders think they’re building technology. But depending on how the platform operates, the business may cross into regulated terr...

3 Areas Every Broker-Dealer Should Be Reviewing...

Compliance Isn’t Static The problem firms have isn’t an absence of WSP’s, supervisory controls or AML procedures, but rather outdated ones...

The Cost of Compliance Leadership: Rethinking the Full-...

Hiring a Chief Compliance Officer is one of the most important decisions a broker-dealer can make – but it’s also one of the most expensive. ...

Artificial Intelligence in the Securities Industry: Opp...

Artificial Intelligence (AI) is rapidly transforming the financial services industry, with broker-dealers increasingly adopting these technologie...

Understanding FINRA Rule 1017: When Growth Triggers a C...

As broker-dealers grow and evolve, many firms encounter regulatory requirements they did not anticipate at the outset. One of the most important ...

What does FINRA actually evaluate when a firm applies t...

Many founders assume the process is mostly about submitting paperwork. In reality, FINRA’s CMA / NMA application process is designed to determi...

FINRA Raises Gift Limit to $300 Under Rule 3220...

FINRA has announced a significant update to one of its long-standing compliance rules  affecting broker-dealers and financial professionals. Beg...

SEC Statement on Tokenized Securities...

SEC Clarifies: Tokenized Securities Remain Subject to Federal Securities Laws On January 28, 2026, the SEC’s Divisions of Corporation Financ...

Less Schrödinger’s Security & the SEC’s S...

SEC’s Aggressive Use of the Howey Test Under Chairman Gary Gensler’s regime, the SEC applied the Howey test aggressively, creating significa...

Digital Assets: SEC Prioritizes Fraud Over Broad Crypto...

SEC Launches Crypto Task Force Led by Commissioner Peirce On January 21, 2025, the SEC issued a press release, announcing the launch of a crypto...

Digital Assets: Clarity on Stablecoins and Meme Coins (...

Digital Assets: Clarity on Stablecoins and Meme Coins (Part II) Under former SEC Chairman Gary Gensler’s regime, even stablecoins were alleged...

Digital Assets: Executive Orders & What it May Mea...

Digital Assets: Executive Orders & What it May Mean for Broker-Dealers (Part I) On January 23, 2025, President Trump issued an Executive O...

Understanding FINRA Rule 4111 & Restricted Firms ...

FINRA Rule 4111 - Making Misconduct More Expensive for Small Firms In an effort to further clamp down on firms who have a history of “seriou...

Start a Crypto Exchange or ICO Using an ATS...

Starting a Crypto Exchange or ICO? The regulatory landscape for blockchain, cryptocurrencies, and digital assets alike has changed drastically...

What is a Shell Broker-Dealer? And What is the Process ...

Shell Broker-Dealers and the Process of Buying a Shell BD It is common knowledge that transactions in the securities industry are highly regulat...

Social Media & FINRA Requirements for Broker-Deale...

Social Media & FINRA Requirements for Broker-Dealers In a world of evolving social media sites, it is difficult for Broker-Dealers to find...

Broker-Dealers under Scrutiny for Selling VIX-related P...

Broker-Dealers under Scrutiny for Selling VIX-related Products If you’re like most broker-dealer executives, you wear many hats. Some...

FINRA’s New Small Firm Broker-Dealer Helpline...

FINRA's New Small Firm Broker-Dealer Helpline If you’re like most broker-dealer executives, you wear many hats. Sometimes owners are driving...

Finra to Streamline CMA/NMA Process...

Finra to Streamline CMA/NMA Process Anyone who has ever applied with the Financial Industry Regulatory Authority (FINRA) for a Continued Membe...

Buying a Broker Dealer? The benefits, pitfalls and what...

Buying a Broker Dealer? The benefits, pitfalls and what to expect. From venture capital funds to ICO advisers, many companies are stayi...

FINRA Pares Back OBA for BDs...

FINRA Proposes New OBA Rules For broker-dealers and registered reps alike, FINRA rules regarding Outside Business Activity (OBA) has always be...

How the SEC is forcing Crypto to seek shelter with Finr...

How the SEC is forcing Crypto to seek shelter with Finra Broker Dealers 2017 will be remembered for a long time as the year when cryptocurrenc...

Need an Experienced ...

As regulatory expectations continue to evolve, many broker-dealers are finding it increasingly difficult to recruit and retain experienced compli...

AI in Financial Serv...

Artificial intelligence is rapidly transforming the financial services industry - from compliance monitoring and fraud detection to research summ...

SEC Exploring Tokeni...

The U.S. Securities and Exchange Commission is reportedly preparing a new regulatory framework focused on tokenized stocks, signaling a major ste...

Tokenization, Privat...

A new wave of broker-dealer formation is emerging, driven by: Tokenization Growth in private markets Expansion of alternative trading ...

When Does a Fintech ...

Most fintech founders think they’re building technology. But depending on how the platform operates, the business may cross into regulated terr...

3 Areas Every Broker...

Compliance Isn’t Static The problem firms have isn’t an absence of WSP’s, supervisory controls or AML procedures, but rather outdated ones...

Need an Experienced ...

As regulatory expectations continue to evolve, many broker-dealers are finding it increasingly difficult to recruit and retain experienced compli...

AI in Financial Serv...

Artificial intelligence is rapidly transforming the financial services industry - from compliance monitoring and fraud detection to research summ...

SEC Exploring Tokeni...

The U.S. Securities and Exchange Commission is reportedly preparing a new regulatory framework focused on tokenized stocks, signaling a major ste...

Tokenization, Privat...

A new wave of broker-dealer formation is emerging, driven by: Tokenization Growth in private markets Expansion of alternative trading ...

When Does a Fintech ...

Most fintech founders think they’re building technology. But depending on how the platform operates, the business may cross into regulated terr...

3 Areas Every Broker...

Compliance Isn’t Static The problem firms have isn’t an absence of WSP’s, supervisory controls or AML procedures, but rather outdated ones...

Need an Experienced ...

As regulatory expectations continue to evolve, many broker-dealers are finding it increasingly difficult to recruit and retain experienced compli...

AI in Financial Serv...

Artificial intelligence is rapidly transforming the financial services industry - from compliance monitoring and fraud detection to research summ...

SEC Exploring Tokeni...

The U.S. Securities and Exchange Commission is reportedly preparing a new regulatory framework focused on tokenized stocks, signaling a major ste...

Tokenization, Privat...

A new wave of broker-dealer formation is emerging, driven by: Tokenization Growth in private markets Expansion of alternative trading ...

When Does a Fintech ...

Most fintech founders think they’re building technology. But depending on how the platform operates, the business may cross into regulated terr...

3 Areas Every Broker...

Compliance Isn’t Static The problem firms have isn’t an absence of WSP’s, supervisory controls or AML procedures, but rather outdated ones...