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COMPLY Marketing Compliance Podcast
The COMPLY Podcast showcases trailblazers in the financial services and compliance space. Each episode dives deep into the challenges, triumphs, and innovations of executives at top banks, fintechs, and enterprise organizations.
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The trends shaping marketing compliance in 2025. As leaders in the marketing compliance space, PerformLine built this State of Marketing Compliance report to provide trend information on the depth of marketing compliance programs, concerns, and challenges.

ADDITIONAL RESOURCES
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Financial Industry Regulatory Authority
October 6, 2026
FINRA Fines Revere Securities $800,000 for Small-Cap IPO-Related AML and Supervisory Failures
WASHINGTON—FINRA has fined Revere Securities LLC $800,000 for anti-money laundering (AML) and supervisory violations related to small-cap initial public offerings (IPOs) for foreign-based issuers. As part of the settlement, FINRA also required Revere to retain a third-party consultant to conduct a review of compliance with FINRA rules, obtain a report from the consultant with recommendations on how to remediate its supervisory procedures and systems, and implement those recommendations.
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Federal Trade Commission
October 6, 2026
FTC Issues Redress Payments to Consumers Impacted by GOAT’s Deceptive Shipping, Refund Policies
The Federal Trade Commission announced it is sending more than $100,000 in redress payments to consumers deceived by online marketplace GOAT. The refunds are part of a settlement over allegations the company failed to honor its refund policies and violated an FTC rule requiring companies to have reasonable shipping practices.
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Federal Reserve
October 5, 2026
Federal Reserve Board announces approval of application by Isabella Bank Corporation
Federal Reserve Board announces approval of application by Isabella Bank Corporation




