Capital Market Solutions

The Compliance Landscape: A Turning Point The first half of 2025 has been a defining period for financial firms.

In today's highly regulated trading environment, maintaining flawless compliance is no longer just a requirement — it's a competitive advantage.

regulatory expectations for broker-dealers have evolved faster than ever.

Navigating the maze of SEC Rules 17a-3 and 17a-4 remains one of the most persistent compliance challenges in modern financial operations.

Navigating the maze of SEC Rules 17a-3 and 17a-4 remains one of the most persistent compliance challenges for broker-dealers. For years, the industry standard has revolved around one key pillar — storage.

For broker-dealers, meeting SEC Rule 17a-4 is not merely a compliance checkbox — it's an ongoing commitment to trust, transparency, and operational integrity. The regulation demands far more than simple data storage.

For trading firms facing intensifying oversight and evolving regulatory requirements, the challenge of managing FINRA CAT and FINRA CAIS compliance has never been greater.

In today's environment of heightened regulatory scrutiny, firms face unprecedented pressure to ensure accuracy and transparency in their trading compliance processes.

In a world of surging regulatory demands, fragmented systems, and ticking compliance clocks, manual processes no longer suffice.

From Compliance Chaos to Control: Why Firms Need a Regulatory Surveillance and Management System (RSMS) In today's regulatory environment, every new update from FINRA CAT or FINRA CAIS feels like a fire alarm.