The Financial Industry Regulatory Authority’s (FINRA) 2026 Annual Regulatory Oversight Report is the most current and comprehensive statement of FINRA’s priorities and expectations for member firms. It does not create new legal obligations, but it is clearly designed as an exam and enforcement roadmap. The 2026 Report weaves together FINRA’s FINRA Forward modernization program, new and evolving risks (especially cyber‑enabled fraud and generative AI (GenAI)), and detailed observations on firms’ supervisory, operational, and financial controls. Firms should use it as a structured checklist for 2026 risk assessments, revisions to written supervisory procedures (WSPs), and enhancements to testing, surveillance, and training.

By Gerald L. Maatman, Jr., Justin R. Donoho, and Hayley Ryan Duane Morris Takeaways:  On December 11, 2025, President Donald J. Trump signed Executive Order 14365 titled “Ensuring a National Policy Framework for Artificial Intelligence.” The Order targets what it characterizes as a “patchwork” of State-by-State AI regulation and directs federal agencies to pursue a

A New Approach to Data Regulation

With the U.S. Department of Justice’s Data Security Program (DSP) now in full effect, companies that handle sensitive personal data, operate across borders, or rely on global vendor ecosystems face an increasingly complex compliance environment. The DSP restricts certain data transactions involving individuals and countries of concern, imposes new

Welcome to Day 3 of our 5 Days of CLE series! Today, we’re spotlighting the programs that thousands of attorneys couldn’t stop watching, and dominated viewing numbers in 2025.
What makes a CLE course truly binge-worthy? It’s the perfect combination of timely relevance, practical insights, and engaging content that keeps you learning long after your