Sheridan’s Signals — SIFMA’s Suggested Recordkeeping Rulebook Modernizations
SIFMA has shared recommendations on how the SEC could modernize its recordkeeping requirements to reduce the compliance burden on firms and provide increased clarity.
2026 update to FINRA 2210 Communications with the Public
In July 2026, FINRA issued a regulatory notice proposing significant updates to Rule 2210, which governs how broker-dealers communicate with the public. Learn more about the proposed changes and steps firms can take to prepare if they are accepted.
New technologies, new risks – The evolution of communications compliance
The evolution of communications technology has changed the way firms do business. But every step change has presented compliance teams with new challenges. We explore how the communications landscape has changed, from voice communications to AI chats, and how compliance teams are already armed with the tools they need to tackle emerging risk.
Off-channel communications: What they are, why they’re still a compliance risk, and how to manage them
Off-channel communications are business messages sent on channels a firm can't capture, retain, or supervise. Here's what the SEC, FINRA, and FCA require, why bans don't work, and how firms bring conversations back on the record.
What does CIRO’s 2026 enforcement report mean for compliance teams?
A breakdown of CIRO's 2026 enforcement report and what its shift toward fewer but larger firm-level sanctions means for compliance, supervision, and recordkeeping.
What the DOJ’s 2026 Corporate Enforcement Policy update means for compliance teams
Learn more about the Department of Justice's 2026 update to its Corporate Enforcement Policy, and how AI-enabled communications monitoring can help you stay ahead of regulatory enforcement by detecting and flagging misconduct before a whistleblower does.