Insider - Smartria

July 16, 2026

Categories

Introducing SmartArchive: Capture, Retain, and Supervise Your Communications From One Platform

The short version: We’ve launched SmartArchive, a new communications archiving and surveillance capability that lets firms capture, retain, and review business communications across channels, emails, text messages, social media messages, and websites […]

July 13, 2026

Published by Patrick Hunt

Categories

NASAA Just Aligned State Ad Rules With the SEC Marketing Rule. Here’s What State-Registered RIAs Should Do Now.

The takeaway in 30 seconds: On May 4, 2026, NASAA approved amendments to four model rules that bring state investment adviser advertising standards into closer alignment with the SEC Marketing Rule, opening […]

July 8, 2026

Published by Patrick Hunt

Categories

What the Firms That Got Fined This Year Had in Common (It Wasn’t the Rule They Broke)

The takeaway in 30 seconds: When a firm gets an enforcement action or a deficiency letter, the citation names a rule, whether it’s a marketing violation, a recordkeeping failure, or a supervision […]

July 6, 2026

Published by Patrick Hunt

Categories

Meet SmartAssist: Compliance Answers and Support, Right Where You Work

The short version: Over the last couple of weeks, we’ve been rolling out SmartAssist, a new AI-powered chat feature built right into the Smartria app. You’ll find it in the chat window […]

July 1, 2026

Published by Patrick Hunt

Categories

Novel ETFs are Coming Under Review. What it Means for RIA Due Diligence, Suitability, and Marketing.

The takeaway in 30 seconds: On June 30, 2026, the SEC opened a 60-day public comment period on ETFs that invest in innovative asset classes or use novel investment strategies. The agency […]

June 29, 2026

Published by Patrick Hunt

Categories

How Small RIAs Can Build Enterprise-Grade Compliance

The takeaway in 30 seconds: “Enterprise-grade compliance” sounds like something only large firms can afford: a dedicated team, a large budget, and infrastructure that a 12-person RIA cannot justify. That was true […]

June 24, 2026

Published by Patrick Hunt

Categories

The Attestation Pile: Why Your Advisors Keep ‘Forgetting’ to Sign

The takeaway in 30 seconds: When advisers do not return their attestations, the instinct is to view it as a culture problem: people who do not take compliance seriously. It’s almost never […]

June 18, 2026

Published by Patrick Hunt

Categories

What the SEC’s Trade-Through Rule Rescission Means for RIA Best Execution

The takeaway in 30 seconds: On June 11, 2026, the SEC proposed rescinding Rule 611 (the Trade-Through Rule) and Rule 610(e) of Regulation NMS, two provisions that have played a central role […]

June 17, 2026

Published by Patrick Hunt

Categories

Compliance Workflows Every RIA Should Automate

The takeaway in 30 seconds: Most RIA compliance programs don’t struggle because the team doesn’t care. They struggle because critical tasks depend on someone remembering to do them, and human memory doesn’t […]

Blogs

Introducing SmartArchive: Capture, Retain, and Supervise Your Communications From One Platform

NASAA Just Aligned State Ad Rules With the SEC Marketing Rule. Here’s What State-Registered RIAs Should Do Now.

What the Firms That Got Fined This Year Had in Common (It Wasn’t the Rule They Broke)

Meet SmartAssist: Compliance Answers and Support, Right Where You Work

Novel ETFs are Coming Under Review. What it Means for RIA Due Diligence, Suitability, and Marketing.

How Small RIAs Can Build Enterprise-Grade Compliance

The Attestation Pile: Why Your Advisors Keep ‘Forgetting’ to Sign

What the SEC’s Trade-Through Rule Rescission Means for RIA Best Execution

Compliance Workflows Every RIA Should Automate

See what Smartria can do for you.