Social Media Ideas for Brokerage Compliance

New Jersey Supreme Court Clarifies Scope of Consumer Fraud Act Liability for Insurance Brokers

Buyer Agreement Dispute Exposes Gaps in Brokerage Release Policies

A buyer-agent dispute exposes gaps in brokerage release policies, compensation terms, and cancellation procedures firms should review now. The post Buyer Agreement Dispute Exposes...

Compass files ethics complaints against Zillow in 26 states

Compass filed ethics complaints alleging Zillow false advertising across 26 states, 55 MLSs and 30 Realtor associations.

Mortgage brokers who get ahead of compliance will outlast the rest

A decade of regulatory whiplash taught me one lesson: get ahead of compliance before an audit forces the issue

CMS tightens ACA broker access rules before open enrollment

New identity-proofing requirements and consent documentation standards put NPN protection on brokers' pre-enrollment checklist

How good was 2025 for brokerages? They made $115B in pretax profits

FINRA's annual snapshot shows how the wealth industry is changing, from key business metrics and marketing trends to shifts in registration and a shrinking branch footprint.

Sellers are only making a 'choice' if they know all the facts

Brokerages are allowed to benefit from a deal — but fiduciary duty requires full disclosure, including unbiased data on the downsides of private listings.

Kalshi Adds Second Compliance Platform for Employee Trade Monitoring

Kalshi has added Comply as a second major enterprise compliance integration, giving firms another way to monitor employees’ trading in prediction market contracts alongside securit...

Lowe and Behold- Insurance Brokers Are Not Exempt from New Jersey’s Consumer Fraud Act

Gibson commission settlements upheld by Eighth Circuit

Settlements cover Compass, Redfin, The Real Brokerage and 6 other firms, adopting NAR practice changes.

‘Junk’ brokerage fees cost consumers $2B annually, report says

A new paper from the Consumer Policy Center finds that tacked-on brokerage fees have become “standard practice” despite agent objections.

NAR guidance clarifies office exclusive listings, MLS rules

NAR guidance details office exclusive listings, pre marketing statuses, disclosures, and CCP rules requiring MLS entry within one business day.

Private listings face House and Senate scrutiny but Washington can’t sell a home

As Congress questions private listings, agents are urged to disclose tradeoffs in writing and review neighborhood launch patterns.

A rival firm took three of USI's clients, brokerage lawsuit alleges

Three accounts moved to a rival in weeks - the national broker says a contract was broken

Compliance built this profession, but advisory is what clients need

Compliance is necessary, but it has never been the thing that actually changes a client's trajectory.

Update on New Jersey’s New Data Broker Rule

Buyer Agreement’s $995 Fee Raises Questions Over Flat Brokerage Charges

A disputed $995 brokerage fee shows why agents should explain flat charges, payment triggers, and potential buyer costs before the first tour. The post Buyer Agreement’s $995 Fee R...

SAR Confidentiality and Customer Communication: What the Joint Agency Statement Means for Your Institution

Compass transaction fee case dismissed

The Efron case, filed by Florida homebuyers, had accused the brokerage of unfairly and illegally adding a $475 fee to their 2024 home purchase transaction.

SWE90 Separates Fiduciary Advisory and Regulation Best Interest Roles

Gibson suit plaintiffs can notify MLSs about settlement data duties

Judge Bough let Gibson plaintiffs notify opt-in MLSs that settlement terms require sharing listing and commission data via providers like FBS.

Analyzing Whether an HSR Filing Is Necessary: Lessons for Transacting Parties From Enforcement Actions

FINRA: RBC’s AML Rules Risked Missing Red Flags

According to the brokerage regulator, flawed surveillance systems at RBC Capital Markets’ wealth management division failed to detect suspicious transactions that should have trigg...

Kalshi adds trade surveillance amid $36B lawsuit

Kalshi has partnered with compliance technology provider Comply to help financial firms monitor employee activity on prediction markets as the platform expands its institutional bu...