The White Law Group·Sep 30What to Do When You Suspect Investment Losses in RetirementWith third-quarter statements rolling in, some older investors may be realizing the harsh truth that their retirement funds have declined…
InComma CompliancebyComma Compliance·Sep 18FINRA Wants to End Pre-Approval for AdsFINRA Notice 26–14 would replace principal pre-approval of retail communications with risk-based procedures. The eight factors, and what…
Iteratingself·Jul 22Your AI governance stack has a hole in the middleWilliam Thompson (@iteratingself)
Iteratingself·Jul 21Agents should write workflows, not improvise themWilliam Thompson (@iteratingself)
FearGreedChart.com·May 17Margin Debt & Market TopsFINRA publishes the total amount investors have borrowed against their securities every month. The data has historically peaked before…
InComma CompliancebyComma Compliance·Apr 30Written Supervisory Procedures: Why Generic Language FailsFINRA examiners cite WSPs for vague language, missing platforms, and undefined review frequencies. Here’s what compliant WSP language uses.
InComma CompliancebyComma Compliance·Jan 9RILAs, Social Media Influencers, and FINRA 2220What is the difference between FINRA Rule 2210 and Rule 2220?
Eric L.·Dec 6, 2025U.S. Margin Debt Surge Signals Potential Market Correction AheadRecent U.S. equity margin debt data suggests the market is operating at elevated levels, with mounting corrective pressures. According to…
MktProFin·Nov 21, 2025The Credit Card King Who Thought FINRA Was Too Busy to NoticeWhen “Business Expenses” Look Suspiciously Like Your Weekend Lifestyle
