compliance

State Advertising Rules Move Closer to the SEC Marketing Rule

As of June 3, 2026, the SEC’s amended Regulation S-P requirements are officially in effect for investment advisers with less than $1.5 billion in assets under management.

If it feels as though your compliance inbox has been reminding you about Regulation S-P for months, that is likely because it has. Since the SEC adopted its July 2023 amendments, firms have been inundated with alerts, commentary, and countdowns tied to one of the most significant updates to privacy and safeguarding requirements in more than two decades.

What RIAs may still need to keep on the compliance calendar. There is a difference between a rule being vacated and a risk disappearing. In compliance, those two things are rarely the same. And for firms making rollover and IRA-to-IRA transfer recommendations, that distinction matters right now.

How RIAs Can Harness AI for Smarter, Compliant Marketing Artificial intelligence has found its way into the RIA marketing department. Tasks that once required a strategist, a copywriter, and significant time can now be drafted in seconds with a well constructed prompt. Blog articles, LinkedIn posts, webinar outlines, FAQs, client emails. The efficiency is undeniable.

The Growing Risk & Regulatory Spotlight Held-away account platforms have become a familiar part of the modern advisory landscape. Tools such as Pontera are often positioned as a practical solution for advisers who want to provide more comprehensive guidance around retirement assets without requiring clients to move accounts to an advisory custodian.

Why Disclosures Matter When an Individual Is Holding Themselves Out as an IAR LinkedIn has evolved into a primary professional identification tool for investment advisers and investment adviser representatives. It is also one of the first places regulators, examiners, and plaintiffs’ attorneys review when assessing how a financial professional presents advisory services to the public.

Quietly Reveals The Strength of Your Firm Each year, as annual amendment season approaches, Form ADV Part 2A inevitably returns to the center of the review process. It is one of the most underestimated documents in an advisory firm. It is not flashy. It is not designed to persuade. And yet it quietly shapes the deepest kind of trust, the kind that forms when a client reads a document and thinks, almost instinctively, “These people are clear. They are honest. They are intentio