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    • SWAPS—CFTC staff extends Brexit-related no-action relief for swap dealers and others
    • BLOCKCHAIN—SEC proposes crypto custody rules for investment advisers and regulated funds
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    • LAW FIRM PERSPECTIVES—What AI Companies Need To Know About NY AG's Whistleblower Push
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    • NASAA NEWS AND SPEECHES—NASAA comments on FINRA proposal to update the financial exploitation framework
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    • VITAL BRIEFING—Déjà vu, Trump’s forced labor tariffs in the docket
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    Securities Regulation Daily Wrap Up, NASAA NEWS AND SPEECHES—NASAA comments on FINRA proposal to update the financial exploitation framework, (Oct 2, 2026)

    By R. Jason Howard, J.D.

    NASAA broadly supports the investor protection objectives underlying the proposal.

    The North American Securities Administrators Association (NASAA) has responded to SEC Release No. 34-106275 in which FINRA proposes “to expand and update the fra ...

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