Social Media Ideas for Financial Industry Regulation Authority

RBI’s Second Fintech SRO Recognition: Governance, Compliance and Regulatory Impact

Introduction At the Global Fintech Fest in Mumbai, Reserve Bank of India (“RBI”) Governor Sanjay Malhotra announced the recognition of the Unified Fintech Forum (‘UFF’) as the seco...

FINRA Enforcement Review Calls for Major Reforms

What to Know FINRA published an external review recommending broad changes to its Enforcement program. If adopted, the recommendations would have a significant impact for broker-d...

Internal Reviews Covering the Use of AI by FINRA Associated Persons

CIRO imposes $7.6 million in sanctions on individuals in fiscal 2026: annual report

Hearing panels handed down 10 permanent bars and 16 suspensions across 39 decisions

SEC Approves FINRA Rule 2210 Amendment Allowing Projected Performance and Targeted Returns

Client Alert: FINRA Forward Report May Reshape Enforcement Expectations for Member Firms

FAIR Canada tells regulators to hold the line on prediction markets

Wealthsimple wants wider retail access to event contracts; FAIR Canada says prove it first

FinReg Monthly Update for Septemberr 2026

Financial Services PR: Regulation, Trust & Leadership

Discover how Financial Services PR navigates SEC Regulation FD, builds trust, and leverages thought leadership. Learn why trust in financial services is growing

SWE90 Separates Fiduciary Advisory and Regulation Best Interest Roles

FCA Finalises Guidance on the Prudential Overall Risk Assessment for Cryptoasset Firms

Regulator bans chargebacks on publicly offered investment fund sales

Final amendments to National Instrument 31-103 remove a pay structure the CSA calls a conflic

FCA issues guidance update to crypto firms ahead of upcoming regime

The Financial Conduct Authority has released feedback on guidance for crypto firms relating to laws and regulations coming into effect next year.

State Regulators Fine Wells Fargo, Merrill Over Small-Dollar Trade Commissions

The firms will collectively pay $4.4 million to settle claims by the North American Securities Administrators Association alleging that they charged unreasonable commissions to ret...

CIRO sanctions advisors $7.6 million and firms $8.6 million

Fines, a proficiency overhaul and a cyber lawsuit all feature in CIRO's year-end wrap

CTFC Proposes Retail Crypto Trading Regulations

The Commodity Futures Trading Commission wants to give retail investors access to leveraged crypto trading under a new federal market structure, as Chair Michael Selig moves to fil...

CFTC Proposes Federal Regulatory Framework for Leveraged Retail Crypto Trading

Earlier this week, the Commodity Futures Trading Commission (the “CFTC” or the “Commission”) issued an advance notice of proposed rulemaking (the “ANPRM”) describing its intent to...

CFTC Proposes Registering Crypto Exchanges Offering Leverage

The CFTC and the Securities and Exchange Commission are working to bridge the regulatory gap after the Clarity Act was blocked.

CFTC Proposes Federal Framework for Leveraged Retail Crypto Trading

Earlier this week, the CFTC issued an advance notice of proposed rulemaking (ANPRM) outlining a federal regulatory framework for retail crypto asset transactions involving margin,...

Investment Management Client Alert August 2026

Law Implementing the EU AI Regulation Takes Effect On 29 July 2026, the Law Implementing the European Union (EU) Artificial Intelligence (AI) Regulation (Regulation (EU) 2024/1689)...

OCC and FDIC Finalize Standards for Unsafe or Unsound Practices and MRAs

The CFTC Sets its Sights on Retail Leveraged Crypto Transactions

The Commodity Futures Trading Commission (CFTC) has taken another significant step towards developing a broader federal regulatory framework for retail crypto transactions involvin...

FCA publishes good and poor practice for CFD firms

On 15 October 2026, the Financial Conduct Authority (FCA) published a new webpage setting out good practices and areas where contracts for difference (CFD) firms could do more to m...

FSB finalizes 12 AI practices for financial firms, flags robo-advice risk

One asset manager's AI tool turns risk reviews around in hours, but who signs off?