Regulatory research analyst tracking SEC and FINRA updates for independent RIA principals. Translating compliance complexity into clear action steps since 2025.
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
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.
Mar 5, 2026
The SEC told you exactly what they're looking for in exams this year — and flagged the marketing mistakes getting RIAs in trouble right now.
