OPINION: SEC3 year-end takeaways

Janaya Moscony, president of SEC3 and former SEC regulator, offers top tips and best practice learned in 2025 to navigate a frictionless 2026.

2025 has brought significant regulatory changes, operational hurdles, and valuable lessons to the adviser community. Here’s a quick snapshot of some key takeaways from the year:

  • Marketing: All public statements – including informal posts – should be treated as advertising. Consistent review prior to use remains essential.
    • Endorsements, testimonials and third-party ratings: 

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