Red Oak Named Service Provider of the Year at the Asset Management STAR Awards North America 2026
Red Oak won the Technology, Distribution & Marketing category at the 2026 Asset Management STAR Awards. See how Red Oak keeps content moving.
Newsroom
Announcements, product launches, awards and press coverage from Red Oak and MirrorWeb, for the press, partners and customers following our work.
Posts
Red Oak Earns a Spot on Fast Company's List of the 100 Best Workplaces for Innovators
Red Oak ranked No. 47 on Fast Company's 2026 Best Workplaces for Innovators list. See how R&D investment and cross-team programs earned the spot.
Red Oak Named to the 2026 Inc. 5000 List of America’s Fastest-Growing Private Companies
Red Oak ranked No. 1,517 on the 2026 Inc. 5000 list of America's fastest-growing private companies, marking its eighth consecutive year on the annual list.
Red Oak and MirrorWeb Combine to Define a New Standard in End-to-End Compliance Connectivity
Read the official announcement of the Red Oak and MirrorWeb combination, uniting content compliance, distribution, and supervision on one platform.
Red Oak Named to AIFinTech100 List for 2026
Red Oak was named to the 2026 AIFinTech100, which recognizes 100 companies leading AI in financial services, for Compliance-Grade AI built to be auditable.
Mira launches: an AI agent that turns your compliance handbook into supervision
Mira, Red Oak's AI supervision agent, turns a compliance handbook into tailored supervision policies grounded in SEC and FINRA rules and reviews every message.
Red Oak Concludes Inaugural “Accelerate” Conference, Bringing Together Compliance and Marketing teams from Across the Financial Services Industry
Red Oak's first Accelerate conference brought compliance and marketing leaders from across financial services to Austin for three days of sessions on AI.
Red Oak Receives 2026 WealthTech Americas Award from WealthBriefing
Red Oak won the Innovative Compliance/RegTech Product category at the WealthBriefing WealthTech Americas Awards 2026, chosen by a panel of independent judges.
Red Oak Expands Leadership Team with Appointment of New Chief Product Officer Kirk Sadler
Red Oak appointed veteran product leader Kirk Sadler as Chief Product Officer to set roadmap priorities with engineering, sales, marketing and leadership.
Red Oak Appoints Michael Allain as Chief Revenue Officer
Red Oak named Michael Allain Chief Revenue Officer. He brings more than 30 years in B2B sales and two decades in financial services to lead revenue growth.
Red Oak Named to the RegTech100 List for Seventh Consecutive Year
Red Oak was named to the RegTech100 for a seventh consecutive year, a list of 100 leading RegTech companies chosen by a panel of analysts and industry experts.
Red Oak Appoints Kirsten Newbold-Knipp as Chief Operating Officer to Advance Growth and Integration Strategy
Red Oak appointed Kirsten Newbold-Knipp as Chief Operating Officer to oversee strategy, client experience and product integration, reporting to the CEO.
Red Oak Expands Its Compliance Connectivity Platform Through Strategic Partnership with MirrorWeb
Red Oak and MirrorWeb bring together advertising review and compliance workflow with communications and web surveillance for financial services firms.
Red Oak Named to 2025 Inc. 5000 List for Seventh Consecutive Year Amid Strategic Expansion and Innovation
Red Oak was named to the 2025 Inc. 5000 for a seventh consecutive year, in a year of new leadership hires and supervision coverage for email and messaging.
MirrorWeb Launches 2025 Mobile Compliance Benchmark Report
A survey of 200 US financial services compliance leaders found mobile messaging fines, review hours and false positives top their concerns. The key findings.
Red Oak Announces Strategic Leadership Hires Across Marketing, Technology, Program Management and Revenue Operations
Red Oak announces strategic leadership hires across marketing, technology, program management & revenue operations to deliver even greater value.
Red Oak Announces Strategic Leadership Changes to Support Its Expanding Compliance Connectivity Platform
Red Oak announced key leadership transitions to strengthen its executive team, accelerate growth & deepen engagement with financial services clients.
MirrorWeb Unveils Sentinel (now Mira) - Intelligent Supervision Engine that Cuts False Positives by 90%
An AI supervision engine scores messages on intent and context across Teams, Slack, WhatsApp and more, so compliance teams focus on the highest-risk messages.
Red Oak Expands Supervision Suite to Cover Email, Messaging, and Collaboration Platforms
Red Oak extends supervision to email, text, instant messaging and collaboration tools such as Slack, Teams and Zoom, with capture, review and WORM archiving.
Red Oak Acquires 4U Platform, Introducing Compliant Connectivity to the Financial Industry
4U Platform joins Red Oak, linking compliance review with content distribution so investment companies and wealth managers approve and share material faster.
MirrorWeb Unveils the First Privacy-Focused Mobile Communications Archiving Application
Trusted Contacts enables teams to keep their current phone numbers and messaging apps while ensuring only business-related communications are archived.
Navigating Residential Supervisory Locations (RSLs) and Remote Inspections: Key Takeaways from Our 2025 Webinar
With new FINRA rules reshaping how firms approach supervisory oversight, our expert panel broke down the most pressing compliance considerations.
Red Oak Compliance Recognized on the RegTech100 List for Sixth Consecutive Year
Red Oak was named to the RegTech100 for a sixth consecutive year, an annual list of the world's 100 most innovative RegTech firms, judged on impact and growth.
Red Oak Compliance Unveils Social Media Compliance Module to Enhance Supervision of Registered Representatives’ Online Presence
Red Oak's social media module lets compliance officers review registered representatives' LinkedIn, Facebook, Instagram and X accounts and escalate risky posts.
Red Oak Compliance Launches AI Review Module to Accelerate Advertising Review
Red Oak's AI-powered advertising compliance software streamlines marketing compliance reviews for financial services and insurance industries.
AI FAQ
Red Oak in the news: an AI FAQ featuring Red Oak. Read the original article from the newsroom, then browse more Red Oak awards, news and announcements.
Red Oak Compliance Recognized Among The Americas’ Fastest-Growing Companies by Financial Times - Press Release
Red Oak was ranked No. 300 of 500 on the Financial Times list of The Americas' Fastest Growing Companies 2021, compiled with the statistics portal Statista.
Red Oak Ranks In Top 200 Among Inc. 5000 Regional List - Press Release
Red Oak Compliance was named to the Inc. 5000 Regionals list of the fastest-growing private companies in Texas, ranking No. 198 among private businesses.
MirrorWeb Appoints Joshua Yulish as President and Chief Revenue Officer
MirrorWeb, now part of Red Oak, appointed Joshua Yulish as President and Chief Revenue Officer to lead marketing, sales and customer success in its next phase.
Red Oak Compliance Launches Affiliate Monitoring and Influencer Monitoring Modules to Streamline Affiliate and Influencer Marketing Supervision
Red Oak's Affiliate Monitoring and Influencer Monitoring modules scan affiliate links and influencer content so compliance teams can review them in one place.
Red Oak Launches Enhanced Registration Management Module to Help Prepare Firms for FINRA’s New API
Red Oak's enhanced Registration Management module integrates with FINRA's new API, which replaced Web EFT, so firms can manage U4s, U5s and licensing data.
Red Oak Compliance Named to Financial Times List of The Americas' Fastest Growing Companies for Fifth Consecutive Year
Red Oak was named one of The Americas' Fastest Growing Companies 2024 by the Financial Times and Statista, its fifth consecutive year on the annual ranking.
How Red Oak is leveraging AI to revolutionise compliance
Red Oak's product leader tells FinTech Global how AI speeds advertising and marketing review for financial firms, cutting review cycles and back-and-forth.
Red Oak Compliance Honored as AIFinTech100 Leader
Red Oak was named to the AIFinTech100 for a third straight year, recognized for using AI in advertising review to flag problematic phrases before submission.
Red Oak Compliance Receives Sixth Consecutive Recognition On Inc. Magazine Annual List Of America’s Fastest-Growing Private Companies
Red Oak was named to the 2024 Inc. 5000 list of America's fastest-growing private companies for the sixth consecutive year, recognizing its compliance software.
MirrorWeb and Smartria Announce Partnership for Best-in-Class Compliance Solutions
MirrorWeb, now part of Red Oak, linked its archiving and supervision with an RIA compliance platform so firms manage filings, reviews and supervision together.
Red Oak Welcomes Mike Lubanksy
Mike Lubansky joins Red Oak as Senior Vice President of Product Management, reporting to the CEO and leading enhancements to Red Oak's compliance software.
Red Oak Welcomes New CEO and CRO
Dave Dutch joins Red Oak as Chief Executive Officer and board member, with Tripp Neville as Chief Revenue Officer. Cofounder Stephen Pope remains on the board.
Red Oak Acquires SiteQuest Compliance
SiteQuest Compliance, a website monitoring and internet supervision software firm, joins Red Oak, adding website monitoring, archiving and WSP management tools.
RedOak Compliance Acquires SiteQuest Compliance
Red Oak Compliance adds SiteQuest Compliance, a website surveillance and compliance monitoring firm, to help clients monitor social and digital content.
Red Oak Compliance celebrates fifth consecutive year on the RegTech 100 list
Red Oak Compliance, a leader in AI-powered advertising compliance technology, was named to the RegTech100 list for the fifth consecutive year.
5th Consecutive Year Red Oak Makes RegTech100
Red Oak was named to the RegTech100 for a fifth consecutive year, a list of tech companies transforming compliance, risk management and cybersecurity.
RED OAK COMPLIANCE NAMED TO ESG FIN TECH100 LIST
Red Oak Compliance has been included in the ESG FinTech 100 list, recognized as a tech pioneer supporting financial institutions in achieving their ESG goals.
Red Oak Compliance Named To ESG FINTECH100 List - Press Release
Red Oak Compliance was named to the ESG FinTech 100, an annual list of innovative ESG companies serving financial services, for its AI-powered compliance tools.
Red Oak Compliance Receives Fifth Consecutive Recognition on Inc. 5000's List of Fastest Growing Private Companies
Red Oak ranked No. 3,923 on the 2023 Inc. 5000 list of fastest-growing private companies, its fifth consecutive year, for AI-backed compliance software.
America's fastest-growing private companies for 2023
Red Oak ranked on the Inc. 5000 list of America's fastest-growing private companies for a fifth consecutive year. Read the full 2023 announcement from Red Oak.
RegTech100 List 2023, for Fourth Consecutive Year
Red Oak was named to the RegTech100 for a fourth consecutive year, an annual list of tech companies transforming compliance, risk management and cybersecurity.
MirrorWeb Modifies Crawling Process to Reduce Carbon footprint
MirrorWeb, now part of Red Oak, moved its web crawl servers to energy-efficient ARM processors and changed how crawl data is stored to cut its carbon footprint.
Red Oak Named to AI FinTech 100 List
Red Oak has been named to the AI FINTECH 100 list for 2023. This prestigious list highlights 100 of the most innovative AI solution providers
Red Oak Compliance Named To AI FINTECH 100 List
Red Oak Compliance was named to the AI FinTech 100, an annual list of the world's most innovative AI solution providers for financial services firms.
Red Oak Named to AI FinTech 100 for 2023
Red Oak was named to the 2023 AI FinTech 100, judged on the problem it solves, its growth and customer traction, and the innovation of its AI technology.
MirrorWeb launches new ‘Insight’ platform
Insight is a communications archiving platform built for the record-keeping needs of RIAs, broker-dealers and asset managers. See what the 2023 launch covered.
Red Oak Compliance Solutions Releases 2022 Year-End Highlight
Red Oak's 2022 year-end report reviews its twelfth year serving financial firms, new features in its flagship software and tools that reduce compliance risk.
Red Oak Named to GRC Outlook Top 10 RegTech Solution Providers List for 2022
GRC Outlook named Red Oak one of its Top 10 RegTech Solution Providers for 2022, citing advertising review software that helps firms cut risk and move faster.
America's fastest-growing private companies for 2022
Red Oak was named to the Inc. 5000 list of America's fastest-growing private companies for the fourth consecutive year. Read the full announcement.
INC 5000 Texas Regionals Press Release
Red Oak was named to the Inc. 5000 Regionals list of the fastest-growing private companies in Texas, recognizing growth in its advertising review software.
Red Oak Compliance Releases Smart Review
Smart Review gives compliance teams a single library of disclosures with an audit trail of changes, using predictive intelligence to speed advertising review.
Red Oak Hires Industry Veteran Michael Davis, as Assistant Vice President of Implementations
Michael Davis joins Red Oak as Assistant Vice President of Implementations, working with clients as they adopt and implement its compliance review software.
Red Oak Announces Hire of Industry Veteran, Aaron Berger, For Implementations Executive Role
Red Oak hired regtech veteran Aaron Berger as Vice President of Implementations to help new clients adopt its software and support clients adding new modules.
Americas' Fastest-Growing Companies By Financial Times
Red Oak was named to The Americas' Fastest-Growing Companies 2021, a Financial Times and Statista list of the companies contributing most to economic growth.
MirrorWeb has been listed in RegTech 100 for the second year running!
MirrorWeb, now part of Red Oak, was listed in the RegTech 100 for a second year running, recognized for web archiving used by financial services firms.
MirrorWeb receives £2m investment to fuel expansion in US
MirrorWeb, now part of Red Oak, received new investment from Maven Capital Partners in 2020 to grow its web and social media archiving in the UK and US.
America's fastest-growing private companies for 2020
Red Oak earned a second consecutive place on the Inc. 5000, Inc. magazine's annual list of America's fastest-growing private companies. Read the news.
Digitalisation in compliance will be vital to remote working revolution
Digitalization in compliance is key to remote work success. Stay ahead with smarter solutions—discover how to future-proof your compliance now.
The webpage archiving blind spot that could cost City firms millions
The FCA has clarified that financial institutions will be held to the same regulatory standards while working remotely. Explore some guidance on how they can adapt.
Imperial College London launches COVID-19 information platform with MirrorWeb & Cloudwick
MirrorWeb, now part of Red Oak, joined a technology consortium building REDASA, a COVID-19 knowledge platform that helps clinicians find guidance on care.
The trends shaping technology in financial services in 2020
Explore key technology trends in financial services for 2020. Learn how innovation is shaping the industry and what it means for your business.
An update for our customers in response to Covid-19
The health and safety of our employees are of the utmost importance to us. Based on government advice, we have activated our Business Continuity Plan in re
MirrorWeb are listed in the FINRA Compliance Vendor Directory
MirrorWeb, now part of Red Oak, joined the FINRA Compliance Vendor Directory, where member firms find vendors offering web and social media archiving.
Record-keeping for financial promotions - where are we now?
Explore the latest trends in financial promotions recordkeeping. Learn how firms are adapting to evolving regulations and ensuring accurate compliance records.
Red Oak Compliance makes REGTECH 100 for 2020
Red Oak was named to the RegTech100 for a second consecutive year, recognized for its advertising review software and a disclosure library for faster approvals.
David Clee has been featured in Financial IT to discuss the impact of RegTech!
In a Financial IT interview, David Clee explains how regulators responded to digital and social communications and how technology helps firms keep records.
The social media archive is now fully searchable!
A public archive of tweets, Flickr images and YouTube videos from UK government departments can now be searched by keyword, department, period and platform.
MirrorWeb recognised as one of the most innovative RegTech companies!
MirrorWeb, now part of Red Oak, was named to the RegTech 100 list of innovative RegTech companies for its web and social media archiving capabilities.
MirrorWeb named in Manchester's top 10 startups to work for in 2020!
MirrorWeb, now part of Red Oak, was named in Tempo's list of top Manchester startups to work for in 2020, alongside other fast-growing local tech companies.
Red Oak Compliance Releases Smart Registration
Red Oak's Smart Registration module tracks licenses, registrations, deadlines, expirations and continuing education credits, with automated deadline alerts.
Red Oak Compliance makes REGTECH 100 for 2019
Red Oak was named to the 2019 RegTech100, an annual list of the world's 100 most innovative RegTech companies, chosen by analysts and industry experts.
Red Oak Compliance Makes the Inc. 5000 List of America’s Fastest-Growing Private Companies for 2019
Red Oak Compliance ranked No. 1,792 on the 2019 Inc. 5000 list of the nation's fastest-growing private companies, its first appearance on the annual list.
America's fastest-growing private companies for 2019
For the first time, Red Oak made the Inc. 5000, Inc. magazine's annual list of America's fastest-growing private companies. Read what drove its growth.
National Archives and MirrorWeb race to create electronic archive of EU law before Brexit
The National Archives must convert the EU's library of laws into a publicly accessible UK archive ahead of Brexit. Learn about the challenges involved.
Red Oak Compliance Celebrates 10th Anniversary
Red Oak marks ten years of helping financial firms get faster advertising approvals, reduce compliance risk and meet their books and records requirements.
Cost of Fraud
Colorado revoked an adviser's registration and barred its managing member for unauthorized fees, inaccurate invoices and forged contracts. What went wrong.
Cybersecurity Practices Key Focus for FINRA
FINRA offers a small firm cybersecurity checklist, a report on effective practices and a vendor directory. How broker-dealers can use them to build a program.
Hidden Fees Come With a Heavy Price - L&C Form ADV Fail!
Submitted by: Joshua Kelly, Compliance Consultant, Red Oak Compliance Solutions
Year-End Compliance Wrap Up
As 2018 comes to a close and 2019 quickly approaches, Red Oak Compliance Solutions has some friendly reminders to help begin 2019 on a good note.
TOP 10 REGULATORY ALERTS FOR 2018
SEC spends 2018 focused on a more rigorous exam schedule and record numbers of enforcement actions. Here's a breakdown of the top 10 regulatory alerts issued.
Happy Holidays from Red Oak Compliance
A short holiday greeting from the Red Oak team, posted in December 2018. Browse the Red Oak newsroom for company news, awards and compliance updates.
Trust Your Instincts When Selecting a Compliance Consulting Firm. It is, after all, a Partnership - PART 2
Part 2 of a guide to choosing a compliance consulting firm covers the questions to ask when interviewing firms and how to make the final selection.
Compliance as a Clue to Potential Fund Failure and Your Financial Well-Being
An SEC case against a private fund adviser that neglected its compliance function shows why a strong culture of compliance is worth checking before investing.
Trust Your Instincts When Selecting a Compliance Consulting Firm. It is, after all, a Partnership - PART 1
Part 1 of a guide to choosing a compliance consulting firm covers why a CCO may need one and where to find the best resources when starting the search.
YEAR-END COMPLIANCE CHECKLIST. END 2018 ON A HIGH NOTE.
A 2018 year-end compliance checklist for advisers and broker-dealers covering cybersecurity, business continuity, surveillance reviews, filings and reporting.
Red Oak Compliance Solutions is Moving!
Red Oak Compliance Solutions moved to a new office in Cedar Park, Texas, on December 1, 2018, with its website, email and phones running throughout the move.
CASE STUDY: Red Oak Software Integrates with Synthesis Technology for a Major Global Asset Manager
A case study on an integrated compliance workflow and content management solution built for a leading global asset manager to create compliant pitchbooks.
Amazing Software, Amazing People - Red Oak Compliance at Seismic Shift 2018.
Red Oak joined a 2018 user conference to share how integrating its compliance workflow software with a marketing content system speeds time to market.
Don't Miss Red Oak Compliance at the 2018 FINRA Small Firm Conference - November 7-8th, San Diego.
Event notice for Red Oak at the 2018 FINRA Small Firm Conference in San Diego, November 7 to 8, with links to learn about Red Oak compliance review software.
Don't Miss Red Oak Compliance at Seismic Shift - November 7-9th, San Diego.
Event notice: Stephen Pope of Red Oak spoke on books and records and regulatory reporting at an industry conference in San Diego in November 2018.
SEC Denies Bitcoin ETF Proposal For The Second Time
In 2018 the SEC rejected a proposed bitcoin ETF for a second time over concerns about cryptocurrency market manipulation, and what it means for future ETFs.
UK Government's digital history preserved and made more publicly accessible
MirrorWeb, now part of Red Oak, indexed and moved two decades of the UK central government's web archive to the cloud and built a searchable public portal.
Crypto Crackdown
The Texas State Securities Board opened 32 investigations into crypto promoters using websites, social media and online ads. See what the 2018 sweep found.
Simplifying Compliance for Investment Advisors - An Interview with Cathy Vasilev, Senior Vice President, Red Oak Compliance Solutions
Red Oak founding member Cathy Vasilev explains how a good compliance consultant helps advisers and broker-dealers cut regulatory burden and focus on clients.
Welsh digital history archived and searchable with MirrorWeb
MirrorWeb, now part of Red Oak, won a three-year Welsh Government contract to archive its English and Welsh websites and key Twitter accounts for public access.
MirrorWeb secures £1M in first round of funding
MirrorWeb, now part of Red Oak, secured £1M in its first funding round, led by Maven Capital Partners, to grow its web and social media archiving business.
Crypto Investment - Many Questions Remain
An SEC official's 2018 remarks on when digital tokens are securities under the Howey investment contract test, and the questions left for crypto offerings.
LPL Settles with State Securities Regulators for $26 Million
State securities regulators in Alabama and Massachusetts led an investigation into LPL Financial LLC’s (“LPL”) failure to establish and maintain policies and procedures to prevent ...
SEC Launches Sample ICO Website
The SEC launched a fake ICO website to show investors the common red flags of fraud in initial coin offerings, as state regulators cracked down on crypto fraud.
Failure to Seek Best Execution Leads to Large Fine
Last month, the Securities & Exchange Commission (“SEC” or the “Commission”) instituted cease and desist proceedings against PNC Investments LLC (PNCI), a registered ...
Meet “SALI” – The SEC’s Additional Investor Protection Search Tool
SALI, the SEC Action Lookup for Individuals, lets investors check whether a person has a judgment or order from an SEC enforcement action. How it differs.
Proposed Best Interest Regulation
In an April 18th Press Release from the Securities and Exchange Commission (SEC) they are seeking public comment (over the next 90 days following publication in the Federal ...
SEC Fines Investment Adviser for False/Misleading Advertising
Pursuant to an order issued April 16, 2018, the SEC (“Commission”) has fined registered Investment Adviser Arlington Capital Management, Inc. (“Arlington”) $125,000 for making ...
Regulation Best Interest
This biggest issue with the financial services industry is the fact that investment advisers are required to operate at a disadvantage; advisers are defined as a fiduciary while ...
AML Officer and CEO Fined for AML Violations
The SEC brought proceedings against a broker-dealer's AML officer and CEO after the firm failed to file Suspicious Activity Reports on hundreds of transactions.
SEC Institutes a Public Administrative Proceeding for Failure to Supervise
An important part of the implementation of any compliance program is the supervision of the firm’s employees and associated persons. A firm’s compliance manual should address ...
SEC Orders Three Investment Advisers to Pay $12 Million to Harmed Clients
Three advisers settled SEC charges that they put clients in higher-cost mutual fund share classes when cheaper shares existed, without disclosing the conflict.
Are you applying Due Diligence?
A former securities auditor explains why an internet search is not enough for alternative investments and what documented product due diligence should cover.
Proposed New Rule for Outside Business Activities and Private Securities Transactions
FINRA is requesting comments on a proposed new rule for outside business activities and private securities transactions of registered persons. This proposed rule would replace ...
SEC Fines Adviser for Custody Rule Violations
The Securities & Exchange Commission (“SEC” or the “Commission”) instituted cease and desist proceedings against Financial Fiduciaries, LLC, (“Financial Fiduciaries”) a ...
Longtime Merrill Lynch Rep Faces Prison for Overcharging Clients
A dually registered rep pleaded guilty to securities fraud after his firm's internal compliance controls flagged excess commissions and fees. How it surfaced.
SEC Will Not Impose Civil Penalties on Advisers Who Self-Report Their Failure to Disclose Conflict of Interests Related to Share Class Selection
Under its Share Class Selection Disclosure Initiative, the SEC offered advisers who self-report 12b-1 fee conflicts settlements without a civil penalty.
Will the SEC Shut Down During a Government Shutdown?
The SEC's shutdown operations plan keeps EDGAR, IARD and CRD filing systems running with limited staff, and a shutdown does not delay a filer's obligations.
SEC Approves FINRA Pay-to-Play Rules for Capital Acquisition Brokers
FINRA recently released Regulatory Notice 17-37 regarding the SEC’s approval of pay-to-play and related recordkeeping rules for Capital Acquisition Brokers (“CABs”). CABs can be ...
SEC Files Legal Complaint Against Adviser for Misappropriating Client Funds
The SEC alleged in a complaint that an investment adviser misappropriated client funds in violation of the Advisers Act, aided and abetted by his assistant.
IRA Rollover traps under new DOL Fiduciary Rule?
IRA rollovers are generally an important component of many advisors’ business model. Now, could some of these rollovers be caught within the potentially confusing boundaries of ...
Investment Adviser Ordered to Pay More Than 3 Million For Violations of the Investment Advisers Act of 1940
The Securities and Exchange Commission has ordered the dually registered Investment Adviser/Broker-dealer Cadaret, Grant & Co., Inc. to pay disgorgement, prejudgment interest, ...
SEC Sanctions Dually-Registered Investment Adviser and Broker Dealer
The SEC sanctioned a dually registered firm for failing to disclose third-party compensation and the conflict it created and for failing to seek best execution.
Investment Advisers and Registration
Most individuals that have been in the financial services industry for any amount of time are aware that there is a requirement to register with a regulatory body in order to ...
FINRA Exam Priorities
FINRA's 2013 exam priorities letter flagged suitability, complex products, cybersecurity, AML and branch office supervision. A summary of the focus areas.