2025 FINRA Oversight Report: What Compliance Teams Need to Know

The most valuable signal in compliance isn’t always what’s new; it’s what keeps showing up. That’s what makes FINRA’s 2025 Oversight Report so revealing. Underneath the new headlines (third-party risks, complex annuities, overnight trading) you’ll find a familiar story: firms still struggling with documentation, supervision, and suitability. But this year, the stakes feel sharper. Whether […]

How Financial Firms Can Use Social Media Without Getting Burned: A No-Nonsense Guide to SEC Compliance

When Compliance Goes Viral   Remember this episode of The Office where Michael Scott declares bankruptcy by simply yelling, “I DECLARE BANKRUPTCY!” into the room? He’s dead serious. And dead wrong. Because that’s not how bankruptcy works. But that’s also how social media compliance feels for a lot of financial professionals: the assumption that you […]

The SEC’s 2025 FAQ Update on the Marketing Rule: What Performance Data You Can Use (and How)

On March 19, 2025, the SEC dropped an update that compliance officers have been waiting for since the Marketing Rule’s enforcement wave began. The new FAQs target the thorniest part of the rule: performance data. It’s not a sweeping rewrite. It’s a set of high-stakes clarifications—delivered with language that should make any adviser’s legal team […]