The Financial Industry Regulatory Authority (FINRA) plays a consequential role in the U.S. securities industry. As a self-regulatory organization, FINRA oversees broker-dealers and their registered representatives to better ensure that investors are protected and that...
Running a cannabis business can come with complex and detailed regulations, and even the most diligent owners can find themselves facing a compliance violation. Whether it's a minor paperwork issue or a more serious infraction, knowing how to respond quickly and...
An owner or executive should conduct a comprehensive internal compliance risk assessment to ensure that a company's SEC compliance program is adequate. This process is crucial for understanding the current program's strengths and identifying areas that need...
