How FINRA Took the SEC’s Baton With Off-Channel Penalties

Published on May 13, 2026

The rules haven't changed. The obligation to capture, retain, and supervise communications is exactly what it was in 2021. What changed was the enforcement spotlight — and firms that have mistaken a quieter SEC for a changed regulatory landscape are building exposure that will surface eventually.

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US Department of Labor, Office of the Inspector General collaboration marks new era in stopping unemployment insurance fraud

May 13, 2026
WASHINGTON – The U.S. Department of Labor and its Office of Inspector General has announced a partnership in furtherance of President Donald J. Trump’s Executive Order, “Establishing the Task Force to Eliminate Fraud.” Under the leadership of Vice President JD Vance, the department and the OIG will work together to safeguard American taxpayers and address widespread fraud and performance concerns

What Is The College for Financial Planning?

May 13, 2026
The College for Financial Planning is a degree-granting institution offering various financial certification programs. It provides graduate degree, non-degree and continuing professional education programs for students. Founded in 1972, today it is part of Kaplan Financial and has trained over 165,000 professionals.