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New Jersey Court Expands Enforcement Tools in Securities Fraud Cases

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What RIAs Should Prioritize in 2025

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FINRA’s Landmark $132.5M Award: A Wake-Up Call for Broker-Dealers on Compliance Failures

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What’s Next for Crypto ETFs? Why Compliance Should Be Your First Step Before Offering Litecoin, XRP, Solana, and Dogecoin

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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: How Firms Can Stay Ahead of NASAA’s Investor Alerts

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

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

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Avoiding Costly Supervision Failures: How GiGCXOs’ AICompliance360™ Protects Firms

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How GiGCXOs’ Software and People Solutions Save Independent Advisers Thousands Annually

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

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Prevent Fines with AICompliance360™: GiGCXOs’ AI-Powered Compliance Solution

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How GiGCXOs' AI-Driven Compliance Software Can Help Broker-Dealers and Investment Advisers Avoid Fines for Misleading Advertisements

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