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Compliance does not end after registration.
In Part 2 of this broker-dealer compliance series, Jephte Lanthia and Erik Dolan explore the ongoing regulatory, operational, and supervisory responsibilities that broker-dealers face, from Regulation BI and advertising oversight to examinations, vendor management, and AI-assisted compliance tools.
News and Insights

FBAR vs. FATCA: Understanding the Key Similarities and Differences
FBAR and U.S. FATCA are often discussed together, but they are separate reporting regimes with distinct filing requirements, thresholds, and

Understanding U.S. Taxation of Multistate and Foreign Corporations
As businesses increasingly operate across borders and state lines, understanding where tax obligations arise has become more complex than ever.

IRS Refund Delivery Changes for 2026: Guidance for U.S.‑Based and International Taxpayers
The IRS will phase out most paper refund checks for U.S.-based taxpayers starting September 30, 2025, mandating electronic direct deposits.

The SEC Updates Its Enforcement Manual
The U.S. Securities and Exchange Commission recently updated its Enforcement Manual for the first time since 2017, introducing procedural changes