As securities markets become increasingly digital, national, and interconnected, many broker-dealers continue to navigate a patchwork of overlapping federal, state, and self-regulatory requirements.
In a newly published Law360 article, Integrated Solutions Founder and Senior Managing Director Howard Spindel examines the growing compliance burden created by overlapping SEC, FINRA, and state regulations, and argues that meaningful regulatory modernization should extend beyond SEC rulemaking to address the broader regulatory framework facing broker-dealers.
The article explores:
- Why regulatory complexity remains a significant challenge for nationally operating firms
- The costs and practical impacts of duplicated oversight and inconsistent requirements
- Lessons from past reform efforts, including NSMIA
- A proposal for a more streamlined, nationally coordinated regulatory framework
As policymakers continue to discuss modernization and efficiency, Howard offers a timely perspective on how investor protection and regulatory simplification can coexist.
Read the full article on Law360
Download the full article here
At Integrated Solutions, we remain committed to advancing thoughtful dialogue around regulatory reform, operational efficiency, and practical compliance solutions for the broker-dealer community.
