July 6, 2026
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 […]
Blogs
Stay updated with the latest compliance news, regulatory developments, SEC updates, and industry announcements.
July 1, 2026
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
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
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
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 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 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 14, 2026
The promotion makes sense on paper. The ops manager who built the firm’s compliance program from scratch, who knows where every policy lives and why every procedure exists, and who has been […]
