On June 2, 2025, the U.S. Supreme Court denied a petition for writ of certiorari filed by Alpine Securities Corp. in Alpine Securities Corp. v. Financial Industry Regulatory Authority. In doing so, the Supreme Court declined...more
6/6/2025
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Broker-Dealer ,
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Denial of Certiorari ,
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Non-Delegation Doctrine ,
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Regulatory Oversight ,
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Securities and Exchange Commission (SEC) ,
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Trump Administration
On January 28, 2025, FINRA issued its 2025 Annual Regulatory Oversight Report, providing a detailed look into FINRA’s current regulatory oversight of member firms and their registered personnel....more
2/14/2025
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Anti-Money Laundering ,
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