On June 11, 2025, FINRA proposed amendments to Rule 3220 (Influencing or Rewarding Employees of Others) (the “Gifts Rule”) that would raise the annual gift limit per recipient to $250 from $100, as well as codifying...more
6/25/2025
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Compliance ,
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Securities Regulation
On Thursday, February 20, the U.S. Securities and Exchange Commission (“SEC”) announced that it created a Cyber and Emerging Technologies Unit (“CETU”) to combat cyber-focused financial misconduct. The announcement reflects a...more
Financial Industry Regulatory Authority (“FINRA”) supervisory control rules require each securities broker-dealer that is a member of FINRA to categorize every location from which the business of the broker-dealer is...more