FINRA, FINRA 2210, 17a-4, recordkeeping, archiving communications, electronic communications, surveillance, broker dealer compliance, ria compliance Jay Proffitt 11/18/25 FINRA, FINRA 2210, 17a-4, recordkeeping, archiving communications, electronic communications, surveillance, broker dealer compliance, ria compliance Jay Proffitt 11/18/25

FINRA fines Ally Invest $850k over recordkeeping failures

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New Jersey Court Expands Enforcement Tools in Securities Fraud Cases

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capital markets, broker dealer compliance, investment adviser compliance, financial services Jay Proffitt 3/19/25 capital markets, broker dealer compliance, investment adviser compliance, financial services Jay Proffitt 3/19/25

Crypto Scams and Social Media Schemes Top 2025 Threats

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Robinhood's $1M-a-Day in Fines: Why Compliance Can No Longer Be an Afterthought

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capital markets, financial services, compliance as a service, outsource compliance Jay Proffitt 1/9/25 capital markets, financial services, compliance as a service, outsource compliance Jay Proffitt 1/9/25

Kicking Off 2025: Anticipated Trends in Capital Markets and Regulatory Changes

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financial services, capital markets, FINRA, SEC, cybersecurity Jay Proffitt 10/14/24 financial services, capital markets, FINRA, SEC, cybersecurity Jay Proffitt 10/14/24

Preventing Fines with AICompliance360™: A Smarter Approach to Compliance.

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Prevent Fines with GiGCXO's FiduciaryGuard360™: Your Essential Compliance Solution

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GiGCXOs Welcomes Steve Maiello as an Independent Consultant

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Introducing the GiGCXOs Contractor Portal: Empowering Our Community of Independent Consultants

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Welcome, Steve Manning: A New Independent Consultant Joins GiGCXOs' Expert Team

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Exciting Partnership Announcement: GiGCXOs Teams Up with Hadrius to Revolutionize Compliance Management.

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special purpose broker-dealer, broker dealer registration, broker dealer compliance, financial services, capital markets Jay Proffitt 8/26/24 special purpose broker-dealer, broker dealer registration, broker dealer compliance, financial services, capital markets Jay Proffitt 8/26/24

Navigating the Path to Becoming a Special Purpose Broker-Dealer

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