June 18, 2026
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 […]
Explore expert insights on compliance management, audits, cybersecurity, regulations, and industry developments.
June 17, 2026
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 […]
June 12, 2026
The takeaway in 30 seconds: A mock audit tests what gets checked. A real SEC exam tests what actually happened, including the parts your mock never looked at. The two aren’t the […]
June 8, 2026
The takeaway in 30 seconds: The current SEC has pulled back from pursuing recordkeeping failures as standalone enforcement cases, but that is a change in enforcement focus, not a relaxation of the […]
June 3, 2026
The SEC’s May 29 proposal to rescind the 2024 climate disclosure rules will generate a lot of commentary about what it means for corporate America. Most of it won’t be directly useful […]
May 27, 2026
Most compliance dashboards answer the wrong question. They show what has been done: tasks completed, attestations collected, and policies acknowledged. Clean numbers, green indicators, and a sense of progress. What an SEC […]
May 26, 2026
The first hire was careful. You walked them through the compliance program personally, collected everything you needed, made sure their outside accounts were registered for trade monitoring before their first day. The […]
May 19, 2026
By now most RIAs under $1.5 billion in AUM know the June 3 date exists. Fewer have spent time thinking carefully about what “compliant” actually means when an examiner walks in and […]
May 18, 2026
Most RIAs that receive deficiency letters after an SEC examination didn’t know they had a problem. That is not a defense. It is the pattern. The findings that show up most consistently […]
