Halyard Compliance LLC

02/09/2026

The SEC’s Division of Examinations has released its 2026 SEC Examination Priorities. The SEC develops its examinations priorities in coordination and consultation with the other divisions and offices throughout the SEC and by considering, among other things, prior years’ examinations, market events, information gathered through participation in conferences and conversations with investors, registrants, industry groups, and other regulators. They reflect practices, products, and services that the Division believes present potentially heightened risks to investors or integrity to the U.S. capital markets. They are not the only areas the Division will address in examinations.

The SEC’s Division of Examinations has released its 2026 SEC Examination Priorities. The SEC develops its examinations priorities in coordination and consultation with the other divisions and offices throughout the SEC and by considering, among other things, prior years’ examinations, market eve...

02/09/2026

FINRA has released its 2026 FINRA Annual Regulatory Oversight Report, which includes new and updated content on cyber-enabled fraud, senior investors and trends in generative artificial intelligence (GenAI), among other topics. FINRA intends for this Report to assist FINRA member firms identify emerging risks and implement effective controls as needed.

FINRA has released its 2026 FINRA Annual Regulatory Oversight Report , which includes new and updated content on cyber-enabled fraud, senior investors and trends in generative artificial intelligence (GenAI), among other topics. FINRA intends for this Report to assist FINRA member firms identify em

02/09/2026

Go Team USA!

07/04/2025

Celebrating the strength, bravery, and freedom our country is built on. Happy Fourth of July! 🎉 🎆 🏄 ⚓

05/15/2024

2024 Annual National Conference Day 2 included an impactful discussion with Halyard Compliance LLC founder Brandon L. Klerk, CRCP, CAMS, CFE on and

05/07/2024

Founder Brandon L. Klerk, CRCP, CAMS, CFE joins a FINRA panel at the 2024 FINRA National Conference for discussion on capital markets and crowdfunding.

We’re excited that Brandon can add this special invitation to is roster of industry engagements. To date, he has participated on numerous industry committees, working groups and boards, including those of the NSCP, BDA, SIFMA, Charles Schwab and more.

No need to “like” this post if your compliance program prohibits it. We know you like it.

https://www.halyardcompliance.com/

05/01/2024

Halyard Compliance is proud to announce inclusion as an industry panelist at the 2024 FINRA Annual Conference in Washington D.C.! 💡Founder Brandon L. Klerk, CRCP, CAMS, CFE joins a FINRA panel discussion on considerations for Broker Dealers & Funding Portals in the and industries.

Capital Raising Considerations for Broker-Dealers and Funding Portals:
This session discusses aspects of Regulation CF and considerations for broker-dealers and funding portals within the investment crowdfunding industry. The purpose of the panel discussion is for attendees to gain knowledge on emerging regulatory risks and best practices broker-dealers and funding portals can implement to stay in compliance.

(Of course, if you are a Client of Halyard you are already seeing the complexities of capital raising simplified.)


https://www.halyardcompliance.com/news-notes/speaking-engagement-2024-finra-national-conference-capital-markets-and-crowdfunding

04/24/2024

The 2024 Annual Conference offers insights on a number of emerging regulatory priorities. This year, Brandon L. Klerk, CRCP, CAMS, CFE , Founder of Halyard Compliance, joins FINRA Capital Markets and Funding Portal Member Regulation to discuss current capital markets considerations for Broker-Dealers and Funding Portals. 💡 💡

Panelists at this session will help to impart knowledge on emerging regulatory risks and best practices broker-dealers and funding portals can implement to stay in compliance. ⚡

Sign up to attend virtually at FINRA.org. The panel discussion will take place Wednesday, May 15 at 1:45 p.m., in Washington D.C.

https://www.halyardcompliance.com/news-notes/speaking-engagement-2024-finra-national-conference-capital-markets-and-crowdfunding

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05/26/2018

12/21/2017