Tag: supervision

Zoom has become a core communications channel for regulated industries, but capturing complete, accurate and audit-ready records is far from straightforward. Regulators expect firms...

FINRA’s newly published 2026 Regulatory Oversight Report delivers a clear message to financial firms experimenting with generative AI: adoption is racing ahead, while governance...

For years, broker-dealer groups have questioned whether their representatives could be paid through personal service companies. The practice is common in other industries, where individuals...