April 27, 2026
FINRA Adopts Sweeping Changes to Margin Requirements for Day Trading
March 31, 2026
Staking out the Perimeter: SEC Outlines Limits of Jurisdiction Over Digital Assets
February 18, 2026
Financial Services M&A: FINRA Notice Regarding Bulk Account Transfer Reduces Regulatory Burdens and Provides Updated Guidance
February 9, 2026
Practising Law Institute's Broker Dealer Regulation Treatise
December 24, 2025
SEC Clarifies Broker-Dealer Custody Rules for Crypto Assets
June 24, 2025
FINRA Proposes Amendments to The Gifts Rule
April 14, 2025
OCC Clarifies Crypto-Asset Guidance
March 28, 2025
New Marketing Rule FAQs Facilitate Compliance on Net Performance
March 20, 2025
SEC Staff No-Action Letter Eases Rule 506(c) Accredited Investor Verification
March 5, 2025
Meme Coins: Collectibles, Not Securities.
February 25, 2025
SEC Creates Crypto Task Force and Pivots Away from Regulation by Enforcement