RIA
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SEC Speaks 2026: Focus on materiality and investor harm
The agency signaled that it intends to rely less on enforcement to define policy and more on clear, workable rules to reduce regulatory complexity and improve coordination across regulators.
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Are you ready for the new Reg S-P?
The amendments significantly expand expectations around incident response, customer notification, and service provider oversight.
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Tokenization and SEC oversight: Six essential updates for RIAs in 2026
Tokenized securities are still securities, and the compliance expectations for RIAs are evolving rapidly.
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FINRA proposes finalizing updates to outside business activity rules
The Proposed Rule is a welcome development to modernize the existing, outdated requirements related to outside business activity and private securities transactions.
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Golsan Scruggs 2025 RIA Risk Survey highlights fraud and cyber concerns
Cyber risk remained in the top tier of concern as regulatory risk slipped.
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How RIAs can build a sturdy compliance program
An at-a-glance guide to building a robust compliance program, and the role of the CCO.
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Your essential guide to the dos and don’ts of Form ADV
Practical tips and advice for compliance officers on how to approach this annual filing with the SEC.
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SEC panel explores pros, cons of RIA ability to require arbitration
Contractual provisions to arbitrate disputes can be less-than-transparent and restrictive — but also sometimes cheaper and less burdensome than litigation.