February 18, 2026
Growth feels good. Revenue is up. Advisors are joining. You’ve crossed roughly 30 employees, and nothing feels broken. That’s exactly why this stage is dangerous. The 30–50 employee range is where compliance […]
Stay informed with compliance alerts covering regulatory updates, SEC developments, industry news, and emerging risks.
February 16, 2026
(And Why Your 2022 Policy Might Now Be Wrong) Most firms believe they’re being conservative. “Use model fees.”“Ban promoters with disciplinary history.”“Lock it down so we don’t get cute with marketing.” Those […]
January 9, 2026
The 30-Day Advisor Onboarding Mandate The RIA industry is scaling at a pace that punishes slow, inconsistent onboarding. Whether the driver is M&A, new branch openings, or rapid advisor recruitment, firms that […]
December 23, 2025
On November 21, 2025, Delaware’s Investor Protection Unit imposed a $995,180 penalty on Kovack Advisors for violations of the Delaware Securities Act. The enforcement action cited inaccurate Form U4 registrations, supervisory failures, […]
December 16, 2025
In a recent investor alert, NASAA warned that scammers are increasingly disguising fraud as “seasonal opportunities,” using themes like Halloween promotions, limited-time offers, and urgent “treats” to manipulate investors. These are not […]
December 10, 2025
On December 5, 2025, the North American Securities Administrators Association (NASAA) sent a clear message to Congress: do not strip states of their authority to regulate artificial intelligence. The letter opposed proposals […]
December 1, 2025
A Shift Toward Operational Scrutiny The U.S. Securities and Exchange Commission (SEC) has released its 2026 examination priorities. While core topics like fiduciary duty and data privacy remain, the message this year […]
November 21, 2025
A 7-Point Guide to Getting Ahead, Before the SEC Knocks SEC cybersecurity examinations are no longer about what’s on paper. They’re about what’s operational, what controls are real, how they behave under […]
November 14, 2025
Featuring insights from Smartria CEO Patrick Hunt The SEC’s amended Regulation S-P, effective December 3, 2025 for large firms, is more than a compliance update; it’s a structural directive. The rule demands […]
