Experienced professionals assisting broker-dealer and registered investment adviser clients with membership applications, regulatory issues and inquiries, and compliance.

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Diles Consulting
Offering Consulting Services Worldwide

25+ Years of Experience in the Securities

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News & Blog

Latest News Posts

Diles Consulting
May 23, 2026

Broker-Dealer Regulatory Issues: FINRA Gives CABs More Room to Work

Did you know FINRA has amended its Capital Acquisition Broker (CAB) rules, giving these specialized firms significantly greater flexibility in private markets? As of March 25, 2026, the amendments reflect FINRA's broader initiative to modernize its regulatory framework while keeping core investor protections firmly in place.

The amendment to the rule expands what CABs can do in several meaningful ways:
• Modified "Institutional Investor" definition - now includes eligible employees of issuer clients
• Buy- and sell-side representation permitted in sales of newly issued, unregistered securities ...

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Diles Consulting
May 18, 2026

Commitment to Service and Integrity

Diles Consulting is proud to have sponsored and attended the Florida Securities Dealers and Advisors Association (FSDA) Generational Day of Financial Literacy - Together for Financial Literacy: Protecting Families Across Generations inaugural event in Boca Raton, FL. This milestone event reflects our deep commitment to community service, financial literacy, and the belief that stronger, more informed communities are built one conversation at a time.

We believe that awareness and open conversation are essential tools in protecting families - especially our most vulnerable - from financial fraud and exploitation. At Diles Consulting, giving back and lifting others through education and engagement isn't just a cause we support; it's a value we live every day.

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Diles Consulting
May 15, 2026

Expert Insights: Colleen Diles on FINRA Compliance in Legent Group Case

In the recent Delaware Court of Chancery decision involving Legent Group and Axos Financial, industry expert Colleen Diles provided key testimony that shaped the court's understanding of regulatory compliance standards.

With over two decades of experience working in FINRA's Member Supervision Department, Diles explained that firms must establish a supervisory system that is reasonably designed to achieve compliance with applicable rules and laws. She explained how a balanced approach combining technology and human judgment can meet regulatory expectations and clarified the role of FINRA cautionary action letters.

This case highlights the importance of expert perspectives in interpreting complex compliance requirements.

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Diles Consulting

Our Mission

At Diles Consulting, our mission is to empower clients in the financial services sector by delivering personalized, expert regulatory and compliance solutions. We strive to foster a culture of transparency and integrity, ensuring that our clients navigate the detailed regulatory environment with confidence and clarity.

  • Providing Custom Solutions
  • Experienced Professionals
  • Tailored Approach
  • Personal Attention
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25 +

Years of Experience

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20 +

Happy Clients

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100 +

Events Attended

 
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About

Securities Industry Expertise

Diles Consulting
Founding Principal Colleen Diles

Diles Consulting is a powerhouse in the realm of regulatory and compliance solutions, spearheaded by President and Founding Principal Colleen Diles.

Diles Consulting
25 Years Sterling Expertise

With over 25 years of sterling expertise in the securities industry, Colleen made significant contributions throughout her impressive tenure at the Financial Industry Regulatory Authority.

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Unparalleled Consultative Services

Our company prides itself on offering unparalleled consultative services across the United States and Canada. We are eager to expand our reach by pursuing opportunities in Europe and Asia.

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Client Testimonials

What Our Clients Say

Diles Consulting

"Diles Consulting demonstrated an impressive command of the nuanced regulatory environment in which we operate. Colleen not only has a thorough understanding of the Investment Advisers Act of 1940 and SEC compliance requirements, but also a practical, solutions-oriented mindset that added significant value to our internal processes."

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Chief Compliance Officer

206-4(7) Client

Diles Consulting

"Colleen is great to work with as she is very knowledgeable and collegial. When I have needed some specific consulting and opinion she has been very responsive and helpful."

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President

Consulting Services Client

Diles Consulting

"Working with Colleen Diles from Diles Consulting has been a very positive experience. She brought expertise, practical insight, and a calm, solutions-oriented approach that made a big difference as we worked through some complex compliance tasks."

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CCO

Consulting Services Client

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"Her work was meticulous, insightful, and delivered on time with exceptional clarity. The final report provided to our compliance team and senior leadership was both actionable and audit-ready, positioning us for continued success in maintaining full regulatory compliance."

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Chief Compliance Officer

206-4(7) Client

Diles Consulting

"Colleen was incredibly flexible with her time, easy to work with, and someone I could consistently rely on to help me get things done. On top of that, she’s a great teacher-she has a real gift for breaking down the fine points in a way that's easy to understand, especially when things get a bit technical."

Diles Consulting

CCO

Consulting Services Client

Exceptional Service & Tailored Solutions

Our clients are established professionals and firms currently operating in or seeking entry into the financial services industry, including broker-dealers and registered investment advisors. We provide them with the strategic guidance and regulatory support necessary to manage the complexities of this dynamic landscape.