Industry Insights

At ACA Group, our financial industry insights are shaped by real-world experience, deep expertise, and a vast client network. 

FINRA’s March 2026 amendments expand CAB firm activities, ease supervisory obligations, and adjust rules for PSTs, compensation, institutional investors, and more.
Article
FINRA, Regulatory Compliance
Discover how ACA’s new Market Abuse Surveillance (MAS) backtesting framework helps firms strengthen surveillance, improve data transparency, and meet evolving regulatory expectations.
Article
Market Abuse Framework, Market Abuse Surveillance
Discover how ACA guided a growing advisory group through a complex breakaway to form an independent RIA with strategic planning, outsourced chief compliance officer support, and tech‑enabled compliance.
Case Study
Registered Investment Adviser (RIA), Wealth Management
Active phishing campaign impersonating FINRA and the SEC targets financial firms. Learn the red flags, immediate steps to take, and how ACA Aponix, our cybersecurity solution, can help.
Cyber Alert
Artificial Intelligence (AI), Cybersecurity, Phishing