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

  • Regulatory Notice 25-10
    FINRA has developed a secure electronic portal to replace email as the primary method for the filing and service of documents in Office of Hearing Officers (OHO) proceedings. These amendments modernize service and filing processes in a manner that will protect investors and the public interest by promoting efficiency while preserving fair process in OHO […]
  • Election Notice – 9/4/25
    Call for Candidates for Upcoming FINRA Small Firm Advisory Committee Election
  • Election Notice – 9/4/25
    SummaryThe purpose of this Notice is to inform member firms about the upcoming nomination and election process to fill vacancies on FINRA’s Regional Committees. 
  • Regulatory Notice 25-09
    FINRA rules require members to provide associated persons with specified information relating to the uniform registration forms and predispute arbitration. FINRA has observed that members currently satisfy some of these requirements through manual processes, such as delivery of the information via U.S. mail. As part of the FINRA Forward initiatives, FINRA has made enhancements to […]

RSS SEC Press Releases

  • SEC Approves Generic Listing Standards for Commodity-Based Trust Shares
    The Securities and Exchange Commission today voted to approve proposed rule changes by three national securities exchanges to adopt generic listing standards for exchange-traded products that hold spot commodities, including digital assets. As a result,…
  • SEC Issues Policy Statement Clarifying that Mandatory Arbitration Provisions Will Not Affect Effectiveness of Registration Statements
    The Securities and Exchange Commission today published a policy statement to announce that decisions about whether to accelerate the effectiveness of a registration statement will not be affected by the presence of a provision requiring arbitration…
  • SEC and CFTC Extend Form PF Compliance Date to Oct. 1, 2026
    The Securities and Exchange Commission and U.S. Commodity Futures Trading Commission each voted to further extend the date for investment advisers to comply with amendments to Form PF, the confidential reporting form used by certain private fund advisers…

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

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