Annual compliance report emphasizes need for continuous cybersecurity training for dealer staff
Agency orders penalty for alleged violations uncovered in compliance exam
Agency found firm failed to report suspicious transaction
Agency seeks feedback on new due diligence standards, enforcement
Regulators flag retail investor issues, market structure, resilience for 2026
Agency sanctions breaches of anti-money laundering rules
Regulator seeks suitability standards for senior industry personnel
New $300 fee per rep set to take effect April 1
Industry experts offer tips after regulators find shortcomings in suitability, KYP and KYC compliance
Bill raises enforcement penalties, enables binding dispute resolution