Category Archives: Blog
The Salus GRC Brief | March 2026
March has been a busy and defining month across the regulatory landscape. From FINRA’s long-awaited [...]
SEC and CFTC Collaboration
The SEC and the Commodity Futures Trading Commission announced on March 11 that they have entered into a [...]
OpenClaw AI and Autonomous Risk
By: Jay Patel OpenClaw is the latest viral AI tool and there’s a good chance your firm’s employees are already experimenting [...]
Securities Attorney Calls on Congress to Strengthen SRO Oversight
By: Jacqueline Hallihan Washington, D.C. | March 5, 2026 A. Valerie Mirko, a partner at [...]
Valuation of Private Credit: Madison Funding Enforcement
On February 25, the SEC fined Madison Funding, a Chicago-based private fund manager, $900,000 for violations related to the valuation of [...]
FINRA Increases Gift Limit
By: Matt Calabro In a significant and long-awaited update, on February 27, 2026, FINRA adopted amendments to Rule 3220 [...]
SEC Compliance Outreach Offers Guidance for Smaller Firms
By: E.J Yerzak If you missed the SEC’s January Compliance Outreach on Regulation S-P, now is the [...]
The Salus GRC Brief | February 2026
February’s regulatory landscape reflects a clear theme: modernization without deregulation. The SEC continues to signal [...]
SEC Appoints Keith Cassidy as Director of Division of Examinations
On January 20, the SEC appointed Keith E. Cassidy as Director of its Division of Examinations (EXAMS). Cassidy had served [...]
New SEC Marketing Rule FAQs: What Advisers Need to Know
SEC Staff Issues Guidance on Model Fees and SRO Disqualifications Under Rule 206(4)-1 On January [...]