News & Events

Download Bates Group’s annual U.S. Economic and Capital Markets Chartbook featuring key economic trends, market data, and investment insights for FY2025.

FINRA Forward introduces new exam scheduling and early findings options to help broker-dealers improve compliance efficiency.

Explore SEC 2026 exam priorities with a five-year trend chart highlighting key compliance focus areas like cybersecurity, fiduciary duty, and risk management.

Join Bates Group at the 2026 NSCP Compliance Lab in Miami for hands-on training, real-world scenarios, and expert-led financial compliance insights.

Explore rising enforcement risks in prediction markets as regulators increase scrutiny on insider trading, compliance, and event contract oversight.

SEC and CFTC propose Form PF amendments to ease reporting burdens, raise thresholds, and streamline compliance for private fund advisers.

Bates Group will be at the 2026 FINRA Annual Conference May 12-14, covering key regulatory trends, compliance insights, and industry networking in Washington, D.C.

Bates Group announces leadership transition as Benjamin Pappas steps down; Alex Russell and Rhonda Davis named Co-CEOs to lead continued growth.

Bates Group is a proud sponsor of the 2026 SIFMA C&L Annual Seminar, uniting financial industry compliance and legal leaders in Orlando March 22–25, 2026.

Matt Summers represents Bates Group at the NMLS 2026 Annual Conference & Training Feb 17–20 in Orlando, connecting with regulators, licensing professionals, and compliance leaders.

FINRA censures a large member firm with a $325,000 fine for failing to supervise electronic signatures, citing missed red flags and inadequate controls.

Bates Group Managing Director Armin Sarabi attends the Kingdom Advisors Redeeming Money Conference Feb. 11-13, blending faith and finance for professional growth.

Bates Group is pleased to share the release of our IPO Report: An Analysis of U.S. Initial Public Offerings (2000–2025), authored by Director Greg Kyle. The report provides a comprehensive review of U.S. IPO activity and a detailed examination of 2025 market conditions.

FINRA is expanding its Rights of Reinstatement enforcement focus beyond missed fee waivers to mutual fund switching practices. Learn how regulators are evaluating fund-to-fund transitions, additional fees, and suitability, and how firms can respond to this evolving scrutiny.

FinCEN delays the Investment Adviser AML Rule to 2028, while the SEC proposes updates to “small entity” definitions affecting future rulemaking.