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GiGCXOs Attending the 2025 FINRA Small Firm Conference in Dallas
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

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GiGCXOs Attending the 2025 NSCP National Conference in Orlando
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

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

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AI Tops RIA Compliance Concerns
broker dealer compliance, outsource compliance, compliance as a service Jay Proffitt 9/3/25 broker dealer compliance, outsource compliance, compliance as a service Jay Proffitt 9/3/25

AI Tops RIA Compliance Concerns

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Robinhood’s Tokenized-Equities Push Draws Regulatory Scrutiny
digital assets, digital securities Jay Proffitt 9/1/25 digital assets, digital securities Jay Proffitt 9/1/25

Robinhood’s Tokenized-Equities Push Draws Regulatory Scrutiny

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When “Democratized” Alternatives Go Sideways
alternative investments, capital markets Jay Proffitt 8/28/25 alternative investments, capital markets Jay Proffitt 8/28/25

When “Democratized” Alternatives Go Sideways

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CFTC Explores Path for Spot Crypto Trading on Futures Exchanges
CFTC regulations, regulatory changes, CFTC Jay Proffitt 8/25/25 CFTC regulations, regulatory changes, CFTC Jay Proffitt 8/25/25

CFTC Explores Path for Spot Crypto Trading on Futures Exchanges

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SEC's Move to Democratize Private Fund Investments
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

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New Jersey Court Expands Enforcement Tools in Securities Fraud Cases
investment adviser Jay Proffitt 6/11/25 investment adviser Jay Proffitt 6/11/25

New Jersey Court Expands Enforcement Tools in Securities Fraud Cases

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What RIAs Should Prioritize in 2025
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

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FINRA Extends Feedback Period on Rule Modernization
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

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SEC's Strategic Shift in Crypto Enforcement
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

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

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Market Volatility and Regulatory Shifts: The Mounting Pressure on Compliance Officers
adviser compliance, broker dealer compliance, compliance as a service Jay Proffitt 5/27/25 adviser compliance, broker dealer compliance, compliance as a service Jay Proffitt 5/27/25

Market Volatility and Regulatory Shifts: The Mounting Pressure on Compliance Officers

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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

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Trump Tariffs Sink Private Capital Sector
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

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

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Compliance Officers Under Pressure: How Market Volatility Increases Regulatory Risks
broker dealer compliance Jay Proffitt 3/31/25 broker dealer compliance Jay Proffitt 3/31/25

Compliance Officers Under Pressure: How Market Volatility Increases Regulatory Risks

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What’s Next for Crypto ETFs?
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?

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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

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