Clear Reg

Weekly SEC & FINRA compliance briefings for independent RIA principals — plain English, clear action steps, 5 minutes every Wednesday.

Mar 8, 2026

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4 min read

The SEC published their 2026 exam playbook. Here’s what’s on the checklist.

Mar 7, 2026

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4 min read

FINRA just changed a rule affecting every adviser who gives gifts — deadline is March 30. Plus what SEC examiners look for at newly registered RIAs.