Category Archives: Compliance
SEC EXAMS Issues Marketing Rule Risk Alert
On December 16, the SEC’s Division of Examinations (EXAMS) issued a Risk Alert on the Marketing Rule. EXAMS previously published [...]
Enhancing Audit Quality: Key Takeaways from the SEC’s Chief Accountant on PCAOB Oversight
Kurt Hohl, the SEC’s Chief Accountant, shared insights on current SEC and Public Company Accounting Oversight Board [...]
License to Advise Part 2: Investment Adviser Representative Registration Oversight
By: Ariana Monchick In our November newsletter, we highlighted some important considerations and deadlines for Investment [...]
November Regulatory Roundup: DOGE Exits the SEC, NFA Revises Digital Asset Disclosure Rules
DOGE Departs the SEC On October 30, Reuters reported that the U.S. Department of Government [...]
NSCP Annual Conference: Key Takeaways from Former Regulators
By: Jackie Hallihan This year’s NSCP National Conference opened with an unfiltered conversation featuring former [...]
Part 1: Important Registration Renewal and CE Deadlines for Financial Advisers
By: Ariana Monchick From new continuing education requirements for investment adviser representatives (“IARs” as defined [...]
Embracing AI in Compliance: Start Small, Start Now — But Start
AI isn’t a trend on the horizon. It’s already transforming how firms operate, make decisions, [...]
Compliance Considerations for AI Use and Policies
By: Matt Calabro Artificial intelligence is no longer a future concept—it’s part of daily operations [...]
Regulation S-P Reminder
With just two months left before the December 3, 2025 compliance deadline, the SEC has [...]
Recent SEC Remarks
By: Jackie Hallihan The SEC closed September with two major announcements that signal a more [...]