February 10, 2026
Most firms talk about SOC 2 when a prospect asks for it. That’s already too late. By the time a buyer sends over a vendor due-diligence checklist or an examiner asks how […]
February 2, 2026
On February 24, 2026, the SEC’s Small Business Capital Formation Advisory Committee will meet to continue discussions on the regulatory framework for “finders” and to examine the growing role of the private […]
January 27, 2026
RIA compliance rarely fails because firms don’t care. It fails because compliance is fragmented. Marketing reviews live in one system. Vendor diligence sits in spreadsheets. Employee attestations arrive by email. Exam prep […]
January 23, 2026
On January 7, 2026, the Securities and Exchange Commission proposed amendments to how “small entities” are defined for investment advisers and investment companies under the Regulatory Flexibility Act (RFA). At first glance, […]
January 21, 2026
SEC enforcement activity fell to decade lows in fiscal year 2025. The Commission brought 313 enforcement actions, and total monetary settlements declined by approximately 45%, marking a clear departure from the prior […]
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 […]
