Category Archives: Blog
SEC Draft Strategic Plan Signals Regulatory Priorities for 2026–2030
On June 2, 2026, the SEC published its Draft Strategic Plan (the “Plan”) for fiscal years 2026 [...]
SEC Risk Alert Highlights 5 Common Conflict-of-Interest Deficiencies for RIAs
By Joelle Best On June 9, 2026, the SEC Division of Examinations released a Risk Alert related to economic [...]
Prediction Markets, Event Contracts, and Emerging Insider Trading Risks
By Lisa Iantorno Prediction markets are exchange platforms that specialize in offering event contracts. An event [...]
SEC Proposes Major Rollback of Form PF Requirements
SEC Proposes Major Rollback of Form PF Requirements On April 20, 2026, the SEC and CFTC [...]
Beyond the Model: How Lower Bit Quantization is Quietly Accelerating AI Adoption
By Jason Patel, Chief Technology & AI Officer Beyond the Model: How Lower Bit Quantization [...]
The Salus GRC Brief | May 2026
May reflects a regulatory environment increasingly focused on balancing operational efficiency, governance, and risk management. [...]
Action Required: FINRA Implementing Identity Verification for IARD Accounts with SSN Access
By Adam DiPaolo and Joelle Best Action Required: FINRA Implementing Identity Verification for IARD Accounts with [...]
The Salus GRC Brief | April 2026
April reflects a more defined and evolving regulatory environment. The SEC is signaling a shift [...]
Building a Modern Vendor Due Diligence Program: April 7 Webinar Recap
In today’s regulatory and operational environment, third-party risk management has evolved from a best practice [...]
SEC Enforcement Results: Key Takeaways from Fiscal Year 2025
On April 7, the SEC announced its enforcement results for the fiscal year ended September [...]