Fiona Cartwright
Fiona Cartwright writes for Regbi Digest and other Independent Journal publications, covering broker-dealer compliance and FINRA and bank regulation and consumer credit. Reporting under this byline is prepared by the Independent Journal editorial desk from primary sources, with AI assistance, and reviewed under our editorial policy.
4 articles
Broker-Dealer Registration Explained: Who Needs It and How
A plain-English guide to broker-dealer registration with the SEC, FINRA and the states: who must register, the steps, ongoing duties and common exemptions.
What FINRA Does: A Plain-English Guide to the Regulator
What FINRA does as the self-regulatory organization for U.S. broker-dealers: rulemaking, examinations, enforcement, arbitration, and its link to the SEC.
FINRA regulatory notice: CE deadline is December 31, 2026
FINRA's Aug. 3 information notice reminds registered persons and firms that 2026 Regulatory Element training is due by December 31 or they become CE inactive.
FINRA proposes rewrite of broker-dealer rules on communications
FINRA Regulatory Notice 26-14, issued July 9, 2026, proposed risk-based approval of retail communications and new treatment of social media and AI content.