Investor Protection Articles

Ahead of the SEC’s September 30 meeting, learn how interval fund repurchases, liquidity limits, NAV, and distributions connect to FINRA exam concepts.

Understand the SEC’s tokenized-stock exemption, the rights behind digital securities, and practical lessons for FINRA exam candidates and new finance professionals.

The SEC’s September 2026 proposal would modernize transfer-agent rules for electronic records, faster settlement, inactive holders, restrictive legends, and investor protection.

The SEC’s August 2026 pre-IPO fraud case offers practical lessons on hidden markups, private-placement due diligence, broker-dealer registration, and FINRA exam preparation.

The SEC’s modernized Rule 605 execution-quality reports are entering the 2026 compliance regime. Learn what the new data means for best execution, broker-dealer compliance, and FINRA exam preparation.

MSRB Rule G-28 is being aligned with FINRA Rule 3210, expanding account-approval and disclosure concepts for municipal-securities professionals. Here is what the September 2026 operative date means for exam candidates and early-career finance professionals.

The SEC's Registered Offering Reform proposal could broaden shelf-offering access, modernize Form S-1, and preempt state registration requirements for registered offerings. Here is what FINRA exam candidates and early-career finance professionals should understand while the proposal remains pending.

The SEC's July 2026 Regulation E-Delivery proposal could make electronic delivery the default for many securities disclosures. Learn what it would change, what it would not change, and why delivery controls matter for FINRA exam candidates.

The SEC's amended Regulation S-P is now in force for smaller entities. Learn how incident response, customer notification, and vendor oversight connect to broker-dealer compliance and FINRA exam preparation.

MSRB Rule G-14 amendments took effect July 1, 2026. Learn what “as soon as practicable” means for municipal trade reporting, broker-dealer controls, and Series 7 exam preparation.

FINRA's June 2026 board actions put remote inspections and hybrid-work supervision back in focus. Here's what exam candidates and new reps should understand now.

FINRA's proposed Rule 3290 would replace Rules 3270 and 3280 with a new framework for outside activities and outside securities transactions. Here's what SIE and Series 7 candidates should know while the proposal is still pending at the SEC.

The SEC's latest Reg BI case and FINRA's 2026 findings show why costs, conflicts, and recommendation analysis matter for new reps and exam candidates.

FINRA's proposed Rule 2166 would give broker-dealers a five-business-day fraud delay for any adult customer, while updates to Rules 4512 and 2165 would expand trusted-contact and temporary-hold tools.