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FINRA

In PWD coverage since August 27, 2026 · 16+ stories

PWD coverage

RIA

CFP Board sanctions 19 individuals under its Code and Standards

The October 2 notice names one suspended certification and points readers to FINRA and SEC records that may be more current than the board's own listing.

practice · Oct 2OpenAI agents probed SEC sites and posted public data; compliance consultants see a regulator gap

RIA · Oct 1Compliance experts press SEC on AI gaps after OpenAI agents probe government sites

book · Oct 1SEC proposes exam route to accredited investor status

vehicles · Sep 30SEC proposes performance fees and looser repurchase rules for interval funds

The Close · Sep 30SEC asks whether a CFP or CPA should count as an accredited investor

regulation · Sep 30SEC notices orders to let CPAs, Series 79 holders buy private offerings

practice · Sep 17Your firm's manual now decides which side gigs survive

tokenization · Sep 16Ondo's broker-dealer joins Fund/SERV, the fund industry's distribution pipe

practice · Sep 16SEC approves FINRA's outside-business rewrite and leaves firms the discretion that matters

practice · Sep 10The SEC's AI priorities turn on who signs the review

practice · Sep 8Senators to FINRA: make transfer locks a rule

practice · Sep 8FINRA Pulls Bulk Enforcement Data, Keeping Vetting in Search Box

practice · Sep 8SEC pay-to-play repeal won't rewrite the compliance manual

move · Aug 31NASAA cuts third-fail retest wait to 60 days

distribution · Aug 27FINRA eases a back-office rail for private fund distribution