The Securities and Exchange Commission (“SEC”) has begun reshaping its regulatory agenda for 2026 with several initiatives that could significantly…
Read MoreA Rule 8210 letter from the Financial Industry Regulatory Authority, or FINRA, is not ordinary correspondence. For financial advisors, registered…
Read MoreCalifornia is close to putting generative AI obligations for lawyers into a statute. Senate Bill 574 (SB 574), authored by…
Read MoreFINRA and the SEC have proposed replacing FINRA Rules 3270 and 3280 with a single new Rule 3290 designed to…
Read MoreOn November 17, 2025, the staff of the Securities and Exchange Commission (“SEC”) issued a no-action letter to the Financial…
Read MoreOn November 17, 2025, the SEC Division of Examinations (the “Division”) issued its annual Examination Priorities (“Exam Priorities”) for fiscal…
Read MoreThe deadline for California-registered investment adviser representatives (“IARs”) to complete their required Investment Adviser Representative Continuing Education (“IAR CE”) hours…
Read MoreOn June 12, 2025, the SEC withdrew fourteen regulations that were proposed over the past three years, stating they have…
Read MoreEarlier this year, FINRA released its proposal to update Rule 3220, Influencing or Rewarding Employees of Others (the “Gift Rule”)[1].…
Read MoreIn early April 2025, NASAA amended its model rules for Dishonest or Unethical Business Practices of Broker-Dealers and Agents (“Conduct…
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