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Regulatory Updates
SEC Fines Firm One Million Dollars for Compliance Violations
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Cheat Sheet: How to Prepare for Regulation Best Interest (Reg BI) and Form CRS Deadline
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Regulatory Updates
FINRA Case Features Broker Fined for WhatsApp Use
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Regulatory Updates
FINRA Fines Firm for Failure to Follow Phone Taping Rule
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Regulatory Updates
Firms and Brokers Penalized for Failing to Comply with Recordkeeping and Supervision Obligations
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Regulatory Updates
Key Takeaways from SEC and FINRA 2020 Priorities Letters: Technology Leads Area of Focus
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Regulatory Updates
5 Steps to Effective and Compliant Use of Mobile Devices in Heavily Regulated Industries
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Regulatory Updates
SEC 2019 Annual Report: Increase in Enforcement Actions and Penalties
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Regulatory Updates
Regulatory Update: Brokers Penalized for Using Personal Email and Violating Social Media Policies
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Regulatory Updates
Regulatory Update: Brokers Face Personal Liability
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Regulatory Updates
FINRA 2018 Fines Summary for Noncompliance with Recordkeeping and Supervision Obligations
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Regulatory Updates
Regulatory Update: SEC Approves the New “Best Interest” Rules
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Regulatory Updates
Regulatory Update: Musk Settles with SEC; New Supervision Rules for Executives on Social Media
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Regulatory Updates
UK Regulatory Update: Firms Risk Reporting Fines as Regulators Begin to Bite
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Regulatory Updates
Regulatory Update: Supervision Failures Continue To Bite Firms
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Smarsh handles information you submit to Smarsh in accordance with its Privacy Policy. By clicking "submit", you consent to Smarsh processing your information and storing it in accordance with the Privacy Policy and agree to receive communications from Smarsh and its third-party partners regarding products and services that may be of interest to you. You may withdraw your consent at any time by emailing privacy@smarsh.com.

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Smarsh handles information you submit to Smarsh in accordance with its Privacy Policy. By clicking "submit", you consent to Smarsh processing your information and storing it in accordance with the Privacy Policy and agree to receive communications from Smarsh and its third-party partners regarding products and services that may be of interest to you. You may withdraw your consent at any time by emailing privacy@smarsh.com.