Industry Insights

At ACA Group, our financial industry insights are shaped by real-world experience, deep expertise, and a vast client network. 

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Topic

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Type
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SEC Approves FINRA Rule 3290 for Outside Activities

SEC-approved FINRA Rule 3290 streamlines outside activities requirements while preserving oversight of outside securities transactions.
Compliance Alert
Broker-Dealer Compliance, FINRA, Regulatory Change, SEC

Anthropic CEO Raises the Stakes on AI Governance

Anthropic CEO Dario Amodei raises the stakes on AI governance. Learn what his essay means for firms using AI tools and agents.
Compliance Alert
AI Governance, Artificial Intelligence (AI), Cybersecurity, Operational Resilience

Modernizing Regulatory Filings

Modernize regulatory filings with technology and ACA’s Managed Services to improve accuracy, reduce compliance risk, and streamline reporting.
Article
Managed Services, Regulatory filings

SEC Proposes Regulation Crypto Assets

SEC proposes Regulation Crypto Assets, with new offering exemptions and an investment contract safe harbor. Comments due October 20.
Compliance Alert
Compliance, Crypto, SEC
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