September 24, 2025

The SEC Is Coming for Your Data Policies. Are You Ready for Regulation S-P?

A new webinar from the SEC is a warning shot. It is not a courtesy invitation. On September 25th, the SEC will host a special webinar for large firms focused entirely on […]
September 19, 2025

$75K for One Line of Copy: The SEC’s Marketing Rule Just Got Real

The SEC recently fined Massachusetts-based investment adviser Meridian Financial $75,000 for a single sentence on their website. That’s not a typo. One line of marketing copy was enough to trigger a high-visibility […]
September 16, 2025

The Risk Isn’t What You Don’t Know. It’s What You Forgot to File.

Earlier this month, NASAA (the North American Securities Administrators Association) released its 2025 annual report on state-registered investment advisers. And for smaller RIAs still assuming regulators are focused elsewhere, it should be […]
August 27, 2025

SEC Rule 204-2 Documentation Playbook: How To Configure Automated Retention And Audit Trails

Introduction Zoom in to August 2024: the SEC fines a New York adviser $1.25 million after examiners uncover pervasive “off-channel” business texts that were never retained. The order reads like a cautionary […]
August 14, 2025

NASAA New Advertising Rules: Here’s What State-Registered Advisers Need to Know (And How to Let Your Voice Be Heard)

A Different Kind of Rule Change Back in the day, adviser ads were simple. You’d find them in the Sunday paper, maybe with a black-and-white headshot and a few polite sentences about […]
July 31, 2025

What FinCEN’s AML Rule Delay Means for Investment Advisers

Over the past year, many advisory firms have been quietly preparing for a major regulatory shift. Drafting AML policies, vetting service providers, reworking onboarding flows—it’s been a slow burn of behind-the-scenes work […]
July 15, 2025

How the SEC’s Small Business Advisory Committee is Quietly Shaping the Future of Startup Capital

For most founders, regulatory discussions don’t appear on the radar until something goes wrong: a delayed offering, a compliance snag, or a legal gray zone no one warned them about. But often, […]
How the SEC’s Small Business Advisory Committee is Quietly Shaping the Future of Startup Capital
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