Skip to Content
Capital Markets Regulatory Experts
Who We Are
Overview
Purpose
Team
What We Do
Compliance Software
Firm Registration
Fractional Resources
Services List
Pricing
Learn More
Blog
Events
Reviews
FAQs
Portals
Contractor Portal
Customer Portal
Contact
Contact Us
Careers
Newsroom
Schedule Demo
Login Account
0
0
Capital Markets Regulatory Experts
Who We Are
Overview
Purpose
Team
What We Do
Compliance Software
Firm Registration
Fractional Resources
Services List
Pricing
Learn More
Blog
Events
Reviews
FAQs
Portals
Contractor Portal
Customer Portal
Contact
Contact Us
Careers
Newsroom
Schedule Demo
Login Account
0
0
Folder: Who We Are
Back
Overview
Purpose
Team
Folder: What We Do
Back
Compliance Software
Firm Registration
Fractional Resources
Services List
Pricing
Folder: Learn More
Back
Blog
Events
Reviews
FAQs
Folder: Portals
Back
Contractor Portal
Customer Portal
Folder: Contact
Back
Contact Us
Careers
Newsroom
Schedule Demo
Login Account
FINRA Extends Feedback Period on Rule Modernization
capital markets, broker dealer compliance, investment adviser compliance, SEC, FINRA Jay Proffitt 6/4/25 capital markets, broker dealer compliance, investment adviser compliance, SEC, FINRA Jay Proffitt 6/4/25

FINRA Extends Feedback Period on Rule Modernization

Read More
SEC's Strategic Shift in Crypto Enforcement
digital assets, broker dealer compliance, investment adviser compliance, capital markets, SEC, FINRA Jay Proffitt 6/2/25 digital assets, broker dealer compliance, investment adviser compliance, capital markets, SEC, FINRA Jay Proffitt 6/2/25

SEC's Strategic Shift in Crypto Enforcement

Read More
SEC Eases Accredited Investor Verification for Rule 506(c) Offerings
capital markets, private equity, regulatory changes, SEC, FINRA Jay Proffitt 3/21/25 capital markets, private equity, regulatory changes, SEC, FINRA Jay Proffitt 3/21/25

SEC Eases Accredited Investor Verification for Rule 506(c) Offerings

Read More
Gensler set to resign in January 2025. What does this mean for the industry?
capital markets, FINRA, SEC, broker dealer compliance Jay Proffitt 11/22/24 capital markets, FINRA, SEC, broker dealer compliance Jay Proffitt 11/22/24

Gensler set to resign in January 2025. What does this mean for the industry?

Read More
Older Posts

Subscribe to Blog

Sign up with your email address to receive news and updates.

We respect your privacy.

Thank you! Be on the lookout for updates and news!

info@gigcxos.com

AICompliance360
Adviser In A Box
CXO FlexForce
Broker Dealer In A Box
Pricing
FuturesCompli360
Schedule a Demo
Third Party Audits
Services
Our People
Our Beliefs
Careers
Customer Reviews
Newsroom
FAQs
Blog
Events
Contractor Portal
ComplianceCentral360
Diversity & Inclusion Pledge
Environmental & Sustainability Pledge
Social Impact Pledge
Legal 
* FinOp (Series 27/28) and accounting services provided by industry leader and third party firm, ACI.
^ AICompliance360 is powered by the Hadrius AI Platform.  AUM is the aggregate amount across all firms using the Hadrius technology.
©2024 GiGCXOs. All rights reserved. The content, design, graphics, and other materials on this website are the property of GiGCXOs and are protected by copyright, trademark, and other intellectual property laws. Unauthorized use, reproduction, distribution, or modification of any material from this site without prior written permission from GiGCXOs is strictly prohibited. All trademarks, service marks, and logos used on this site are the trademarks of their respective owners. Any unauthorized use of these trademarks is prohibited. 
The information provided on this website is for informational purposes only and does not constitute an offer to sell or a solicitation of an offer to buy any securities. Nothing on this site should be interpreted as a recommendation to invest, an endorsement of any particular investment, or a solicitation to engage in any investment activity. GiGCXOs does not provide investment advice, and any decisions to buy, sell, or hold securities should be made based on your own due diligence and in consultation with a qualified financial advisor.