SEC Risk Alert Highlights Observations from AML Compliance Exams

The SEC and FINRA Fine Merrill Lynch $12 Million for AML Failures

SEC Issues New Risk Alert on Expanded Focus for Marketing Rule Examinations

FINRA: Member-Firms Must Properly Supervise Use of Emojis in Electronic Communications

SEC Issues Risk Alert on Safeguarding Customer Information at Branch Offices

SEC & FINRA Finally Approve a Crypto Company

Relief For Broker-Dealers Providing Research For Hard Dollars?

SEC Releases Further Guidance On Standards of Care For Broker-Dealers and Registered Investment Advisers Regulation Best Interest

SEC Withdraws M&A Brokers No-Action Letter

The SEC Proposes Changes to the Submission of Forms, Filings and Materials

New SEC Risk Alert “Observations from Examinations of Newly-Registered Advisers”

FINRA Issues 2023 Report on Exam and Risk Monitoring Program

The SEC Proposes Significant Changes to Existing Custody Rules for Registered Investment Advisers

SEC Votes to Adopt T+1 Trade Settlements and Proposes Further Advisory Client Protections

DFP Partners’ Janice Parise Elected to FINRA’s Small Firm Advisory Committee

DFP Partners Cybersecurity Services

The IRS Provides 2023 Inflation Adjustments

DFP Partners Registered Investment Adviser Services

DFP Partners Broker-Dealer Services

DFP Partners FinOp Services

DFP Partners Anti-Money Laundering Testing Services

DFP Partners Overview

DFP Partners Accounting Services

The Supreme Court Denies New Hampshire’s Case Against Massachusetts Work From Home Tax Case

The Merry Adventures of Robin Hood — What The Current Fight With Massachusetts May Bring For The Industry

The SEC Provides COVID Relief Surrounding Annual Audited Financial Statements & Other Filings