Compliance Advisers, Inc

Compliance Advisers, Inc

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Women in Compliance

April 29, 2016 karen

We are excited to announce that our CEO, Karen Steighner, is a member of Women in Compliance.

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RSS FINRA Notices

  • Information Notice 11/17/25
    SummaryThe national options exchanges are closing at 1:00 p.m. Eastern Time (ET) on Friday, November 28, 2025 (the Friday after Thanksgiving), which will modify the exercise cut-off time for expiring options.
  • Information Notice 11/14/25
    SummaryThe SEC recently amended its rules governing electronic submission of filings and other materials to the SEC. The amendments require, among other things, that members submit their annual reports pursuant to SEA Rule 17a-5 to the SEC electronically in lieu of paper form, and they also make changes to the Financial and Operational Combined Uniform […]
  • Regulatory Notice 25-15
    SummaryFINRA has adopted amendments to Rules 6380A and 6380B to extend the operating hours of the FINRA Trade Reporting Facilities from opening at 8:00 a.m. Eastern Time to opening at 4:00 a.m. Eastern Time each business day. These amendments will take effect on March 30, 2026.The text of the amended rules is available in the […]
  • Information Notice 11/10/25
    SummaryTo assist members in their financial reporting obligations, FINRA is issuing this Notice to provide the due dates for Annual Report, Financial and Operational Combined Uniform Single (FOCUS), Form Custody, and supplemental FOCUS Report filings that are due in 2026 or the first quarter of 2027. FINRA reminds members that all such filings they submit […]

RSS SEC Press Releases

  • SEC Division of Examinations Announces 2026 Priorities
    The Securities and Exchange Commission’s Division of Examinations today released its 2026 examination priorities. The Division publishes its annual examination priorities to provide transparency to registrants and investors about the topics that the…
  • Deputy Director of Enforcement Antonia M. Apps to Conclude Her Tenure at the SEC
    The Securities and Exchange Commission today announced that Antonia M. Apps, Deputy Director of the Division of Enforcement (Northeast), will conclude her tenure with the agency effective Dec. 1, 2025. “I thank Antonia for her steadfast leadership in…
  • SEC Issues Exemptive Order Regarding Compliance with Certain Rules Under Regulation NMS
    The Securities and Exchange Commission today issued an order granting temporary exemptive relief from certain compliance dates adopted under Regulation NMS: Minimum Pricing Increments, Access Fees and Transparency of Better Priced Orders as follows:…

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  • IA’s: 2024 Annual Rule 206(4)-7 Reviews January 16, 2025

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