FINRA, AI, adviser compliance, broker dealer compliance, capital markets, financial services, SEC, Regulatory Trends Jay Proffitt 2/14/26 FINRA, AI, adviser compliance, broker dealer compliance, capital markets, financial services, SEC, Regulatory Trends Jay Proffitt 2/14/26

When AI Starts Acting on Its Own: A New Chapter in Compliance

Read More

capital markets, broker dealer compliance, ria compliance Jay Proffitt 12/10/25 capital markets, broker dealer compliance, ria compliance Jay Proffitt 12/10/25

Revitalizing America’s Markets on its 250th Birthday

Read More

FINRA, regulation bi, reg bi, capital markets, adviser compliance, broker dealer compliance, outsource compliance Jay Proffitt 11/28/25 FINRA, regulation bi, reg bi, capital markets, adviser compliance, broker dealer compliance, outsource compliance Jay Proffitt 11/28/25

FINRA Fines First Trust Portfolios $10 Million for Violations Relating to Gifts and Entertainment

Read More

broker dealer, broker dealer compliance, FINRA 2210, capital markets, compliance as a service, adviser compliance, archiving communications, electronic communications Jay Proffitt 9/8/25 broker dealer, broker dealer compliance, FINRA 2210, capital markets, compliance as a service, adviser compliance, archiving communications, electronic communications Jay Proffitt 9/8/25

FINRA Fines a Second Broker-Dealer Over Misleading Crypto Communications

Read More

capital markets, FINRA, SEC, broker dealer compliance, investment advisers Jay Proffitt 9/7/25 capital markets, FINRA, SEC, broker dealer compliance, investment advisers Jay Proffitt 9/7/25

GiGCXOs Attending the 2025 FINRA Small Firm Conference in Dallas

Read More

financial services, capital markets, broker dealer, broker dealer compliance, NSCP conference Jay Proffitt 9/6/25 financial services, capital markets, broker dealer, broker dealer compliance, NSCP conference Jay Proffitt 9/6/25

GiGCXOs Attending the 2025 NSCP National Conference in Orlando

Read More

capital markets, FINRA, SEC, DCM, NSE Jay Proffitt 9/4/25 capital markets, FINRA, SEC, DCM, NSE Jay Proffitt 9/4/25

SEC & CFTC Signal “Go-to-Market” Path for Spot Crypto Trading on Registered Venues

Read More

alternative investments, capital markets Jay Proffitt 8/28/25 alternative investments, capital markets Jay Proffitt 8/28/25

When “Democratized” Alternatives Go Sideways

Read More

capital markets, broker dealer compliance, compliance as a service, SEC, FINRA Jay Proffitt 6/16/25 capital markets, broker dealer compliance, compliance as a service, SEC, FINRA Jay Proffitt 6/16/25

SEC's Move to Democratize Private Fund Investments

Read More

capital markets, adviser compliance, broker dealer compliance, broker dealer, exempt reporting adviser, compliance as a service Jay Proffitt 6/9/25 capital markets, adviser compliance, broker dealer compliance, broker dealer, exempt reporting adviser, compliance as a service Jay Proffitt 6/9/25

What RIAs Should Prioritize in 2025

Read More

capital markets, broker dealer compliance, SEC, FINRA Jay Proffitt 6/4/25 capital markets, broker dealer compliance, SEC, FINRA Jay Proffitt 6/4/25

FINRA Extends Feedback Period on Rule Modernization

Read More

digital assets, broker dealer compliance, capital markets, SEC, FINRA Jay Proffitt 6/2/25 digital assets, broker dealer compliance, capital markets, SEC, FINRA Jay Proffitt 6/2/25

SEC's Strategic Shift in Crypto Enforcement

Read More

broker dealer compliance, adviser compliance, electronic communications, promotional material, capital markets Jay Proffitt 5/29/25 broker dealer compliance, adviser compliance, electronic communications, promotional material, capital markets Jay Proffitt 5/29/25

Navigating the SEC's Updated Marketing Rule: Key Takeaways for Private Fund Managers

Read More

M&A, capital markets, financial services, tariffs Jay Proffitt 4/8/25 M&A, capital markets, financial services, tariffs Jay Proffitt 4/8/25

Anticipated Tariff Headwinds for Global M&A Activity

Read More

capital markets, ipo market, ipo, private equity Jay Proffitt 4/7/25 capital markets, ipo market, ipo, private equity Jay Proffitt 4/7/25

Trump Tariffs Sink Private Capital Sector

Read More

broker dealer, capital markets, financial services Jay Proffitt 4/2/25 broker dealer, capital markets, financial services Jay Proffitt 4/2/25

FINRA’s Landmark $132.5M Award: A Wake-Up Call for Broker-Dealers on Compliance Failures

Read More

cryptocurrency, capital markets, digital assets, crypto Jay Proffitt 3/27/25 cryptocurrency, capital markets, digital assets, crypto Jay Proffitt 3/27/25

What’s Next for Crypto ETFs?

Read More

crypto, cryptocurrency, broker dealer, capital markets, financial services Jay Proffitt 3/24/25 crypto, cryptocurrency, broker dealer, capital markets, financial services Jay Proffitt 3/24/25

A "Crypto-Friendlier" SEC? Why Firms Still Need to Tread Carefully on Meme Coins and Digital Assets

Read More

capital markets, private equity, regulatory changes, SEC, FINRA Jay Proffitt 3/21/25 capital markets, private equity, regulatory changes, SEC, FINRA Jay Proffitt 3/21/25

SEC Eases Accredited Investor Verification for Rule 506(c) Offerings

Read More

capital markets, broker dealer compliance, financial services Jay Proffitt 3/19/25 capital markets, broker dealer compliance, financial services Jay Proffitt 3/19/25

Crypto Scams and Social Media Schemes Top 2025 Threats

Read More