Regulatory Compliance

Explore SEC Release IA-1092 and how it shapes regulations for investment advisors and financial planners, enhancing protection for investors.

Learn about the history and significance of the 500 shareholder threshold rule and how recent changes in regulations pave the way for tech startups and other growing firms.

Explore the purpose, benefits, and criticisms of the Financial Industry Regulatory Authority (FINRA) and how it regulates the financial market.

Learn about UDAAP, the regulations set by the Dodd-Frank Act, how the Consumer Financial Protection Bureau (CFPB) oversees enforcement, and examples of unfair, deceptive, or abusive acts or practices in the financial industry.

Grasp the essentials of SEC Form S-1, its purpose, and its significance for companies planning an IPO. Learn the key components, filing procedures, and review real examples to gain comprehensive insights.

Discover the transformative power of EDGAR, the Electronic Data Gathering, Analysis, and Retrieval system that revolutionizes access to corporate filings.

Explore the pivotal role HMDA plays in promoting transparency and fairness within the mortgage lending market, including key aspects and reporting requirements.