Several proposed rules related to the Division of Securities were published on October 13, 2026, addressing various compliance areas within the securities market.
What changed
Updates include new minor violation tables and filing instructions.
Compliance perspective
Securities firms will need to review and adjust their compliance protocols according to new filings.
Need help keeping up with these changes?
Tell us where you operate and what licenses you hold; we'll handle the filings and renewals so changes like this do not catch you off guard.