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What FINRA’s 2026 Priorities Reveal About the Next Phase of Compliance
Regulatory Outlook, Cybersecurity & AI Risk, Compliance Program Design Jay Proffitt 3/2/26 Regulatory Outlook, Cybersecurity & AI Risk, Compliance Program Design Jay Proffitt 3/2/26

What FINRA’s 2026 Priorities Reveal About the Next Phase of Compliance

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What the SEC’s Latest Risk Alert Means for Advisory Marketing
Marketing Compliance, Disclosure Governance Jay Proffitt 3/2/26 Marketing Compliance, Disclosure Governance Jay Proffitt 3/2/26

What the SEC’s Latest Risk Alert Means for Advisory Marketing

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How the SEC’s Latest Proposal Could Reshape Compliance for “Small” RIAs
Regulatory Policy, RIA Compliance Strategy, Industry Economics Jay Proffitt 2/20/26 Regulatory Policy, RIA Compliance Strategy, Industry Economics Jay Proffitt 2/20/26

How the SEC’s Latest Proposal Could Reshape Compliance for “Small” RIAs

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What FINRA’s Latest Numbers May Mean for Small Broker-Dealers
Regulatory Trends, Enforcement Analytics Jay Proffitt 2/18/26 Regulatory Trends, Enforcement Analytics Jay Proffitt 2/18/26

What FINRA’s Latest Numbers May Mean for Small Broker-Dealers

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What 2026’s Market Structure Shifts Mean for Financial Firms
Capital Markets Trends, Technology & Innovation Jay Proffitt 2/16/26 Capital Markets Trends, Technology & Innovation Jay Proffitt 2/16/26

What 2026’s Market Structure Shifts Mean for Financial Firms

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When AI Starts Acting on Its Own: A New Chapter in Compliance
FINRA, AI, adviser compliance, broker dealer compliance, capital markets, financial services, SEC, Regulatory Trends Jay Proffitt 2/14/26 FINRA, AI, adviser compliance, broker dealer compliance, capital markets, financial services, SEC, Regulatory Trends Jay Proffitt 2/14/26

When AI Starts Acting on Its Own: A New Chapter in Compliance

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When Texts Tell a Story: Compliance Lessons from a $750K FINRA Fine
broker dealer compliance, outsource compliance, adviser compliance, ria compliance, gigcxos Jay Proffitt 2/10/26 broker dealer compliance, outsource compliance, adviser compliance, ria compliance, gigcxos Jay Proffitt 2/10/26

When Texts Tell a Story: Compliance Lessons from a $750K FINRA Fine

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capital markets, broker dealer compliance, ria compliance Jay Proffitt 12/10/25 capital markets, broker dealer compliance, ria compliance Jay Proffitt 12/10/25

Revitalizing America’s Markets on its 250th Birthday

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The SEC Just Told You Its 2026 Exam Playbook. Are You Ready?
broker dealer compliance, ria compliance, outsource compliance, gigcxos, finra, sec exams Jay Proffitt 12/8/25 broker dealer compliance, ria compliance, outsource compliance, gigcxos, finra, sec exams Jay Proffitt 12/8/25

The SEC Just Told You Its 2026 Exam Playbook. Are You Ready?

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FinCEN Delays AML Requirements for Investment Advisers
adviser compliance, broker dealer compliance, compliance as a service, outsource compliance Jay Proffitt 12/2/25 adviser compliance, broker dealer compliance, compliance as a service, outsource compliance Jay Proffitt 12/2/25

FinCEN Delays AML Requirements for Investment Advisers

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FINRA Fines First Trust Portfolios $10 Million for Violations Relating to Gifts and Entertainment
FINRA, regulation bi, reg bi, capital markets, adviser compliance, broker dealer compliance, outsource compliance Jay Proffitt 11/28/25 FINRA, regulation bi, reg bi, capital markets, adviser compliance, broker dealer compliance, outsource compliance Jay Proffitt 11/28/25

FINRA Fines First Trust Portfolios $10 Million for Violations Relating to Gifts and Entertainment

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Why GiGCXOs Recommends Hadrius and Classification First AI
ria compliance, broker dealer compliance, outsource compliance, gigcxos, hadrius Jay Proffitt 11/25/25 ria compliance, broker dealer compliance, outsource compliance, gigcxos, hadrius Jay Proffitt 11/25/25

Why GiGCXOs Recommends Hadrius and Classification First AI

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Not All AI Is Created Equal For Compliance
outsource compliance, broker dealer compliance, ria compliance, compliance as a service Jay Proffitt 11/20/25 outsource compliance, broker dealer compliance, ria compliance, compliance as a service Jay Proffitt 11/20/25

Not All AI Is Created Equal For Compliance

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FINRA fines Ally Invest $850k over recordkeeping failures
FINRA, FINRA 2210, 17a-4, recordkeeping, archiving communications, electronic communications, surveillance, broker dealer compliance, ria compliance Jay Proffitt 11/18/25 FINRA, FINRA 2210, 17a-4, recordkeeping, archiving communications, electronic communications, surveillance, broker dealer compliance, ria compliance Jay Proffitt 11/18/25

FINRA fines Ally Invest $850k over recordkeeping failures

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Younger Investors Want AI-Savvy Advisors — But Still Prefer Human Guidance
AI investing, artificial intelligence, investing, AI Jay Proffitt 9/29/25 AI investing, artificial intelligence, investing, AI Jay Proffitt 9/29/25

Younger Investors Want AI-Savvy Advisors — But Still Prefer Human Guidance

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FTC Warns of Surging High-Dollar Impersonation Scams Hitting Older Americans
supervision, risk management, awareness, seniors, fraud alerts, fraud Jay Proffitt 9/25/25 supervision, risk management, awareness, seniors, fraud alerts, fraud Jay Proffitt 9/25/25

FTC Warns of Surging High-Dollar Impersonation Scams Hitting Older Americans

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FINRA Probes Linqto Broker-Dealer as Pre-IPO Platforms Face a Tough Five Years
pre ipo, pre-ipo, exempt securities, alternative investments, alts Jay Proffitt 9/22/25 pre ipo, pre-ipo, exempt securities, alternative investments, alts Jay Proffitt 9/22/25

FINRA Probes Linqto Broker-Dealer as Pre-IPO Platforms Face a Tough Five Years

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SEC “Pretexting” Phishing Impersonation Campaign
archiving communications, cybersecurity, cybersecurity audit, electronic communications, FINRA 2210, Reg S-P Jay Proffitt 9/15/25 archiving communications, cybersecurity, cybersecurity audit, electronic communications, FINRA 2210, Reg S-P Jay Proffitt 9/15/25

SEC “Pretexting” Phishing Impersonation Campaign

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401(k)s, Private Markets, and the New Reality
exempt securities, private securities, private placement, Reg D, Reg S, Reg A, Reg CF Jay Proffitt 9/11/25 exempt securities, private securities, private placement, Reg D, Reg S, Reg A, Reg CF Jay Proffitt 9/11/25

401(k)s, Private Markets, and the New Reality

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FINRA Fines a Second Broker-Dealer Over Misleading Crypto Communications
broker dealer, broker dealer compliance, FINRA 2210, capital markets, compliance as a service, adviser compliance, archiving communications, electronic communications Jay Proffitt 9/8/25 broker dealer, broker dealer compliance, FINRA 2210, capital markets, compliance as a service, adviser compliance, archiving communications, electronic communications Jay Proffitt 9/8/25

FINRA Fines a Second Broker-Dealer Over Misleading Crypto Communications

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