Social Media Ideas for Brokerage Compliance

ITAR Brokering in Foreign Defense Transactions: DS–4294 Approval, Expanding Enforcement, and Hidden Liability Risks

I. Executive Overview Brokering under the International Traffic in Arms Regulations (ITAR) is one of the most misunderstood and increasingly enforced areas of U.S. export control l...

Broker Transparency & Personally Identifiable Information

Until new regulations are live, industry participants must independently verify entities and individuals while carefully protecting sensitive personal data.

Macy's hit with class action over broker's alleged $13.2M commission haul

One broker. Two retailers. One paid nothing. The other? 37 cents on every dollar

OSC suspends Argosy Securities advisor over KYC misrepresentation, unauthorized trading

Compliance rejected his trades - so he lied on the forms instead.

SEC warns new outside activity rule isn't a free-for-all

Brokerages applaud a new rule that will relieve them of the obligation to monitor advisors' side gigs such as driving for Uber or bartending. But regulators say they still have ple...

RECO’s annual financial reporting rules take effect: What brokerages need to know

New annual filings will give RECO a detailed look at brokerage finances, trust accounts and compliance, with the first deadline just weeks away. The post RECO’s annual financial re...

LPL complaint asks: Who do recruiting firms' lawyers owe loyalty to?

Industry lawyers and experts say the latest wrinkle in a long-running LPL-Ameriprise recruiting dispute shows why advisors should strongly consider retaining their own legal counse...

The SIPC safety valve: What financial advisors should know about brokerage failures

No current events compare to, say, the collapse of Lehman Brothers or Bernie Madoff's firm. Nevertheless, experts say RIA owners and financial advisors should still understand how...

Brokers spot fraud clues that the wider industry may never see

Fragmented data and limited feedback leave brokers unsure what happens to the concerns they report

Wells Fargo and Merrill Lynch settle excessive commissions probe

US state regulators secure US$4.4 million from two broker-dealers over unreasonable charges on small-dollar retail equity trades

Lofty-backed law limits CIPA claims targeting brokerages

The proptech firm says it helped pass a state law that is intended to end “demand letter campaigns” alleging California Invasion of Privacy Act violations.

CSA finalizes ban on advisor chargebacks in public fund sales

Some commission recoveries fall outside the ban, but regulators still expect firms to act

Compliance Experts Caution Regulators After AI Agents Probe SEC

The news that OpenAI agents posted publicly available SEC information on an online forum is prompting compliance experts to stress the need to close regulatory gaps.

Gibson commission settlements upheld by Eighth Circuit

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

Benefits broker fiduciary risk: why disclaimers may not be enough

Most benefits brokers disclaim fiduciary status but courts may see things differently says Ron Peck, chief legal officer at The Phia Group

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...

SEC Settles With Canadian Broker Over Alleged AML Failures

The SEC claimed Haywood USA failed to file required suspicious activity reports and didn't investigate red flags tied to accounts involving a convicted criminal and a banker.

PBM disclosure rules still leave benefits brokers with unanswered questions

Benefits brokers need more than disclosure to serve plan sponsors on pharmacy costs, insists industry insider

INADVERTENT CLASSIFICATION: IS YOUR B2B ENTERPRISE A DATA BROKER?

The Registry Does Not Read Your Pitch Deck Ask the chief executive of a sales intelligence platform whether the company is a data broker, and you will get the look usually reserved...

SEC’s Observations Regarding Investment Adviser Annual Compliance Reviews

On September 14, 2026, the U.S. Securities and Exchange Commission (the “Commission”) issued a Risk Alert highlighting observations from its examinations of SEC-registered investme...

Pagano and Broker Commissions: A Hidden Risk When Buying Tenant Occupied Commercial Property

Named Accounts Key to Growing Compliance Burdens on Marketplace Platforms

Author: A finextra community member

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

And this is why I always teach agency in my BizOrgs class

In a typical securities class action, plaintiffs name the individual company officers responsible for the alleged fraud, as well as the company itself.  The company’s liability is,...