Join GT Shareholders Kate Kalmykov and William Mack, along with America EB-5 Visa, LLC’s CEO Marko Issever, for an informative discussion about targeted investment with a FINRA-licensed broker-dealer.
The panel will

News & Commentary on Financial Regulatory and Compliance Matters
Join GT Shareholders Kate Kalmykov and William Mack, along with America EB-5 Visa, LLC’s CEO Marko Issever, for an informative discussion about targeted investment with a FINRA-licensed broker-dealer.
The panel will…
On May 17, 2023, Prometheum Ember Capital LLC (Prometheum Ember Capital), a subsidiary of Prometheum Inc., received approval from the Financial Industry Regulatory Authority (FINRA) to…
Continue Reading FINRA Approves Prometheum Ember Capital LLC to Operate as Special Purpose Broker-Dealer for Digital AssetsOn Jan. 10, 2023, the Financial Regulatory Authority (FINRA) released its 2023 Report on FINRA’s Examination and Risk Monitoring Program (“Report”) in which it identifies the year’s areas of examination…
Continue Reading 2023 Report on FINRA’s Examination and Risk Monitoring ProgramLast summer, the Financial Regulatory Authority (FINRA) proposed a rule change to its supervision rule (FINRA Rule 3110) to allow member firms to conduct remote inspections of some or all…
Continue Reading FINRA Files Amendments to Proposed Rule Change That Will Allow Remote InspectionsThe Financial Industry Regulatory Authority (FINRA) in November 2022 released a targeted exam letter pertaining to communications for crypto products and services. The relevant period for this exam is July…
Continue Reading FINRA Targeting Crypto Asset Retail CommunicationsOn Sept. 29, 2022, the Financial Industry Regulatory Authority (FINRA) released Regulatory Notice 22-20, alerting members to changes to the Sanctions Guidelines (Guidelines), effective immediately. The notice discusses…
Continue Reading FINRA Releases Updated Guidelines and Sanctions for Securities Rule ViolationsOn March 28, 2022, the Securities Exchange Commission (SEC) issued a press release regarding two proposed rules, Rules 3a5-4 and 3a44-2 under the Securities Exchange Act of 1934 (the Act).
Continue Reading SEC Seeks to Expand ‘Dealer’ or ‘Government Securities Dealer’ Definition to Require Additional Firms to Register with Agency and Comply with Federal Securities Regulations
On Feb. 9, 2022, the Financial Industry Regulatory Authority (FINRA) released its 2022 Report on FINRA’s Examination and Risk Monitoring Program (Report), in which it identifies its areas of examination…
Continue Reading 2022 Report on FINRA’s Examination and Risk Monitoring Program
The Division of Examinations (the Division) (formerly known as the Office of Compliance Inspections and Examinations, or OCIE) of the U.S. Securities and Exchange Commission (SEC) released its annual…
Continue Reading 2021 SEC Examination Priorities for Securities Industry Registrants
On Feb. 1, 2021, the Financial Regulatory Authority (FINRA) released its 2021 Report on FINRA’s Examination and Risk Monitoring Program (Report), in which it identifies its areas of examination focus…
Continue Reading 2021 Report on FINRA’s Examination and Risk Monitoring Program