SEC Articles

The SEC has proposed rescinding its investment-adviser pay-to-play rule. Learn what remains in force and how SEC, FINRA, and MSRB rules differ.

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 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.

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.

The SEC's new Retail Fraud Working Group puts retail-investor scams, account takeovers, and market manipulation in sharper focus. Here is what FINRA exam candidates and new finance professionals should understand.

The SEC's June 11, 2026 proposal to rescind Reg NMS Rule 611 and Rule 610(e) is a major market-structure development. Here's what exam candidates and new reps should understand now.