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GiGCXOs Attending the 2025 FINRA Small Firm Conference in Dallas
capital markets, FINRA, SEC, Securities and Exchange Commission, broker dealer compliance, investment advisers, registered investment advisor Jay Proffitt 9/7/25 capital markets, FINRA, SEC, Securities and Exchange Commission, broker dealer compliance, investment advisers, registered investment advisor Jay Proffitt 9/7/25

GiGCXOs Attending the 2025 FINRA Small Firm Conference in Dallas

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GiGCXOs Attending the 2025 NSCP National Conference in Orlando
financial services, capital markets, broker dealer, broker dealer compliance, investment adviser compliance, NSCP conference Jay Proffitt 9/6/25 financial services, capital markets, broker dealer, broker dealer compliance, investment adviser compliance, NSCP conference Jay Proffitt 9/6/25

GiGCXOs Attending the 2025 NSCP National Conference in Orlando

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SEC & CFTC Signal “Go-to-Market” Path for Spot Crypto Trading on Registered Venues
capital markets, FINRA, SEC, Securities and Exchange Commission, National securities exchanges, designated contract markets, DCM, NSE Jay Proffitt 9/4/25 capital markets, FINRA, SEC, Securities and Exchange Commission, National securities exchanges, designated contract markets, DCM, NSE Jay Proffitt 9/4/25

SEC & CFTC Signal “Go-to-Market” Path for Spot Crypto Trading on Registered Venues

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Robinhood’s Tokenized-Equities Push Draws Regulatory Scrutiny
digital assets, digital securities Jay Proffitt 9/1/25 digital assets, digital securities Jay Proffitt 9/1/25

Robinhood’s Tokenized-Equities Push Draws Regulatory Scrutiny

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CFTC Explores Path for Spot Crypto Trading on Futures Exchanges
CFTC regulations, regulatory changes, CFTC Jay Proffitt 8/25/25 CFTC regulations, regulatory changes, CFTC Jay Proffitt 8/25/25

CFTC Explores Path for Spot Crypto Trading on Futures Exchanges

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SEC's Move to Democratize Private Fund Investments
capital markets, broker dealer compliance, compliance as a service, investment adviser compliance, SEC, FINRA Jay Proffitt 6/16/25 capital markets, broker dealer compliance, compliance as a service, investment adviser compliance, SEC, FINRA Jay Proffitt 6/16/25

SEC's Move to Democratize Private Fund Investments

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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

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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

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