Resources featuring Douglas Preveza

Reg SP compliance countdown: key steps before June 3

Watch the March After the Alert with Doug Preveza.

New $300 FINRA gift limit and clarifications to Rule 3220

FINRA’s amendments to Rule 3220 (Influencing or Rewarding Employees of Others) mark one of the most significant updates to the gifts and gratuities framework in decades. While the headline change—the increase in the annual gift limit from $100 to $300—has drawn attention, the more meaningful impact lies in FINRA’s clarification of expectations around valuation, aggregation, supervision, and […]

AML rule delayed, not derailed: What advisers need to know now

Introduction In a move that surprised few but still raised eyebrows, the Financial Crimes Enforcement Network (FinCEN) has officially postponed the effective date of its long-anticipated Anti-Money Laundering (AML) rule for Registered Investment Advisers (RIAs) and Exempt Reporting Advisers (ERAs). Originally slated to take effect on January 1, 2026, the rule is now delayed until […]