November 9, 2026
Compliance Tech Talk News Flash: Week of November 9, 2026
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Weekly regulatory news roundup for CCOs at SEC-, FINRA- and CFTC-regulated firms.
Show notes
The first weekly Compliance Tech Talk News Flash: last week's SEC, FINRA, CFTC and NFA developments, including the SEC small-entity definition amendments, FINRA's Webull AML and best-execution fine, FINRA Notice 26-23, the senior-leader CE interim program, CFTC equity perpetuals and impartial access guidance, and NFA Notice I-26-23 on FATF jurisdictions. Narration is AI-generated.
News FlashRegulatory news