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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

  • Election Notice - 12/16/2025
    FINRA recently held annual elections to fill vacancies on the Small Firm Advisory Committee (SFAC) and the Regional Committees,1 and, at its December meeting, the FINRA Board of Governors (FINRA Board) appointed several individuals to fill vacancies on the SFAC and the National Adjudicatory Council (NAC).
  • Regulatory Notice 25-18
    Summary FINRA has adopted amendments to its Codes of Arbitration Procedure (Codes) to accelerate the processing of arbitration proceedings for parties who qualify based on their age or health condition.The amendments add new Rules 12808 and 13808 (Accelerated Processing) to the Codes, and are effective for arbitration cases filed on or after March 30, 2026.The text of the rule […]
  • Regulatory Notice 25-17
    SummaryFINRA has amended its TRACE reporting requirements to permit a firm that is both a broker-dealer and an investment adviser to report allocations of specified orders to managed customer accounts in a streamlined, aggregated manner. These amendments will take effect on June 8, 2026. FINRA is not otherwise changing its TRACE reporting requirements. The rule text […]
  • Regulatory Notice 25-16
    SummaryFINRA has amended its Codes of Arbitration Procedure (Codes) to better balance the process for generating the list of public arbitrators sent to the parties in certain customer and industry disputes that have a three-arbitrator panel. In addition, FINRA has made ministerial Code changes to codify certain current practices; establish new timeframes for certain actions; […]

RSS SEC Press Releases

  • Joshua T. White Named SEC Chief Economist
    The Securities and Exchange Commission today announced that financial economist and academic scholar Dr. Joshua T. White will return to the agency beginning the week of Jan. 5, 2026, to serve as its Chief Economist and Director of the Division of…
  • SEC Office of the Investor Advocate Delivers to Congress Report on Activities for Fiscal Year 2025
    The Securities and Exchange Commission’s Office of the Investor Advocate today delivered its Report on Activities for the Fiscal Year 2025 to Congress, highlighting the initiatives and work of the office during the fiscal year.The report includes:An…
  • SEC Charges Canadian Citizen With Fraud Schemes That Targeted Retail Investors on Discord
    The Securities and Exchange Commission today charged Canadian citizen Nathan Gauvin and three entities he controls—Blackridge, LLC, Gray Digital Capital Management USA, LLC, and Gray Digital Technologies, LLC—with orchestrating two fraudulent securities…

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

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