Regulatory shifts rarely arrive with clear instructions. We track SEC guidance, state-level changes, and industry standards — then translate what it means for your policies, disclosures, and daily operations.
Marketing Rule Developments — Advertising, testimonials, and social media guidance
Examination Priorities — Where regulators are focusing their attention
Cybersecurity Standards — Requirements keep evolving. So should your approach
Cutting through regulatory noise to focus on what examiners care about
The SEC released its examination priorities for 2025. We break down what actually matters for your compliance program versus what's just noise.
Implementation reality versus regulatory expectations
Two years after the SEC marketing rule changes, we look at how firms actually adapted versus what regulators expected.
Separating compliance theater from real security
Not all cybersecurity measures are created equal. Here's what actually protects your firm versus what just checks compliance boxes.
Common misinterpretations and their consequences
Three years in, firms still misinterpret key parts of the advertising rule. Here are the mistakes that trigger examiner attention.
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