Notice library

Securities (SEC, FINRA, state)

6 notice types from this area, each with its deadline, response options, and sources.

• FINRA Broker-Dealer Examination Deficiency Letter Response

  FINRA's 2025 Regulatory Oversight Report identifies the most common examination findings for broker-dealers: (1) supervision deficiencies (WSP gaps, inadequate principal review); (2)...

• FINRA Form U5 BrokerCheck Broker Comment & Dispute Response

  FINRA operates BrokerCheck, a free online tool that allows the public to research the professional backgrounds of current and former brokers and brokerage firms. Under FINRA Rule 8312,...

• Real Estate Agent/Broker License Reinstatement

  A fresh July 2026 search across nine states' reinstatement processes (Texas, Connecticut, Colorado, Washington, New Jersey, Massachusetts, South Carolina, North Carolina, California) found...

• SEC Federal RIA Examination Deficiency Letter Response

  The SEC's Division of Examinations examines approximately 15% of the ~15,000 federally registered investment advisers per year (~2,250 exams annually). When the exam identifies violations...

• SEC Regulation D Offering Inquiry Response

  In FY2024, issuers filed approximately 70,000 new Form D notices, with total offerings claiming over $3.3 trillion in new capital under Reg D. Rule 506(b) (the traditional private...

• State Registered Investment Advisor Examination Deficiency Letter Response

  State securities regulators conduct investment adviser examinations under authority granted by state securities acts (often modeled on NASAA's Uniform Securities Act). The frequency of...

All agencies