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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 25-19
    SummaryFINRA is amending the Annual Reports Extension of Time Request Policy to update the information required from firms and their auditors when making extension requests. In connection with this update, the related interpretation to SEA Rule 17a-5(m)(1) in the Interpretations of the SEC’s Financial and Operational Rules is rescinded.
  • Regulatory Notice 26-02
    SummaryFINRA seeks comment on proposed rule modernization changes to further assist member firms in protecting customers from fraud and financial exploitation. Based on comments on Regulatory Notice 25-07, FINRA proposes amendments to FINRA Rules 4512 (Customer Account Information) and 2165 (Financial Exploitation of Specified Adults) and proposed Rule 2166 (Temporary Delays for Suspected Fraud).The rule text […]
  • Regulatory Notice 26-01
    SummaryFINRA's Renewal Program facilitates the collection and disbursement of fees for broker-dealer (BD) and investment adviser (IA) registrations, exempt reporting, and notice filings with participating self-regulatory organizations (SROs) and jurisdictions.In November, FINRA issued Preliminary Statements announcing estimated renewal fees. Final Statements are now available to confirm or reconcile actual renewal fees owed as of January […]
  • 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).

RSS SEC Press Releases

  • SEC Publishes Staff Report on Capital-Raising Dynamics
    The Securities and Exchange Commission’s Office of the Advocate for Small Business Capital Formation today published and delivered to Congress its 2025 staff report that serves as a comprehensive and data-rich resource on capital-raising dynamics…
  • SEC Proposes Amendments to the Small Entity Definitions for Investment Companies and Investment Advisers for Purposes of the Regulatory Flexibility Act
    The Securities and Exchange Commission today proposed amendments to the rules that define which registered investment companies, investment advisers, and business development companies qualify as small entities for purposes of the Regulatory Flexibility…
  • Deputy Director of Enforcement Nekia Hackworth Jones Concludes Her Tenure at the SEC
    The Securities and Exchange Commission today announced that Nekia Hackworth Jones, Deputy Director of the Division of Enforcement (Southeast), concluded her tenure with the agency on December 26, 2025.“I am thankful to Nekia for answering the call to…

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

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