We Strive to Foster a Culture of Transparency & Integrity

Navigating "FINRA Forward" with Expert Compliance Solutions

• The securities industry continues to shift, and regulatory bodies along with compliance professionals are adjusting their approaches accordingly. The following overview describes the current regulatory landscape and the methodologies applied to complex compliance requirements.

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50/50 Women on Boards LA: Colleen Diles Volunteers at Board Leadership Conference Drawing 300+ Attendees

• Los Angeles Conversation on Board Leadership served as a premier gathering for aspiring board leaders and business executives. Held at the California Endowment in downtown Los Angeles, the event was exceptionally well attended, with over 300 people...

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FINRA Examination Program Alert: Broker-Dealer Supervision of Structured Products Under Rule 3110 and Reg BI

• In May, FINRA announced that it will review firm practices related to supervision of higher-risk structured products. Structured products are designed to meet specific investment objectives for retail investors, such as growth, income, or risk management. They typically combine a traditional security, like a bond, with a derivative component

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Navigating Broker-Dealer Regulatory Issues: Key Insights from the 2026 FINRA Examination Program and SEC Rules and Regulations

The 2026 FINRA Annual Regulatory Oversight Report provides broker-dealers with a comprehensive roadmap of current regulatory priorities and emerging risks. A significant highlight for this year is the introduction of GenAI: Continuing and Emerging Trends, reflecting FINRA's focus on how new technologies impact firm operations.

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FINRA's Evolving Examination Program: Transparency Enhancements

In a recent podcast, Senior Management discussed how FINRA is looking to evolve its examination program to be more risk-informed, efficient, and transparent. Their enhancements are aimed at reducing the regulatory burden on member firms while strengthening market integrity and investor protection. By leveraging new technology and internal data, FINRA intends to shift away from traditional, broad oversight toward a more targeted approach that focuses resources on the areas of greatest potential risk to investors.

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Expert Witness - Areas of Expertise

• FINRA Programs
• FINRA Risk Hierarchy
• FINRA Sales Practice Issues
• FINRA and SEC Rules
• Assessment of Internal Controls
• Broker-Dealer Compliance and Supervision
• Broker-Dealer Regulatory Issues
• Risk Monitoring and Mitigation

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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.

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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.

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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...

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