Compliance Insights & Resources

Expert guidance on SEC and FINRA compliance, AI-powered analysis, and regulatory best practices for financial advisory firms.

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Featured Articles

Product Updates

Introducing Compliance Approved: Marketing Review Built for Small RIAs

We built Compliance Approved because small advisory firms deserve the same marketing compliance tools as the big shops — without the big price tag.

2025-06-05 6 min
SEC Compliance

The Complete Guide to SEC Marketing Rule 206(4)-1 for RIAs

Everything registered investment advisors need to know about complying with the SEC Marketing Rule, including testimonials, performance advertising, and required disclosures.

2025-06-12 15 min
FINRA Compliance

FINRA Rule 2210 Compliance Guide: Communications with the Public

A comprehensive guide to FINRA Rule 2210 for broker-dealers, covering retail communications, correspondence, and institutional communications.

2025-08-19 14 min

All Articles

Product UpdatesFeatured

Introducing Compliance Approved: Marketing Review Built for Small RIAs

We built Compliance Approved because small advisory firms deserve the same marketing compliance tools as the big shops — without the big price tag.

2025-06-05 6 min
SEC ComplianceFeatured

The Complete Guide to SEC Marketing Rule 206(4)-1 for RIAs

Everything registered investment advisors need to know about complying with the SEC Marketing Rule, including testimonials, performance advertising, and required disclosures.

2025-06-12 15 min
SEC Compliance

SEC Marketing Rule Checklist: 15 Steps to Full Compliance

A step-by-step checklist to ensure your firm meets every requirement of the SEC Marketing Rule.

2025-06-26 8 min
SEC Compliance

Testimonials and Endorsements Under the SEC Marketing Rule

What RIAs need to know about using client testimonials and third-party endorsements under the new SEC Marketing Rule.

2025-07-15 10 min
SEC Compliance

Performance Advertising Under the New Marketing Rule: Dos and Don'ts

Navigate the complex requirements for performance advertising, including hypothetical performance, extracted performance, and net/gross returns.

2025-08-05 12 min
FINRA ComplianceFeatured

FINRA Rule 2210 Compliance Guide: Communications with the Public

A comprehensive guide to FINRA Rule 2210 for broker-dealers, covering retail communications, correspondence, and institutional communications.

2025-08-19 14 min
FINRA Compliance

FINRA Advertising Review: Common Deficiencies and How to Avoid Them

The most common advertising compliance deficiencies found in FINRA examinations, with practical guidance on avoiding them.

2025-09-02 9 min
Product UpdatesFeatured

Inside Our Marketing Analysis Engine: How We Actually Review Your Materials

A peek under the hood at how Compliance Approved analyzes marketing materials — and why we built it the way we did.

2025-09-16 8 min
FINRA Compliance

SEC vs. FINRA Marketing Compliance: Key Differences for Dual Registrants

Understanding the overlapping and distinct marketing compliance requirements under SEC and FINRA rules for dual-registrant firms.

2025-09-23 10 min
AI & ComplianceFeatured

How AI is Transforming Compliance for Investment Advisors

An in-depth look at how artificial intelligence is revolutionizing compliance workflows, from document analysis to risk monitoring.

2025-10-07 13 min
AI & Compliance

AI-Powered Document Analysis: How It Works and Why It Matters

A technical yet accessible explanation of how AI compliance analysis works, including NLP, regulation mapping, and automated issue detection.

2025-10-21 11 min
AI & Compliance

The ROI of AI Compliance Software: Time and Cost Savings Quantified

Hard numbers on the time savings, cost reduction, and risk mitigation that AI-powered compliance tools deliver for financial advisory firms.

2025-11-04 9 min
Compliance Operations

Code of Ethics Best Practices for Investment Advisors

Best practices for designing, implementing, and enforcing an effective code of ethics at your investment advisory firm.

2025-11-18 10 min
Compliance Operations

Building a Compliance Culture: Lessons from Top RIA Firms

How leading advisory firms build a culture where compliance is everyone's responsibility, not just the CCO's burden.

2025-12-02 8 min
Compliance Operations

Annual Compliance Review: What to Include and How to Document It

A detailed guide to conducting and documenting your firm's annual compliance review under Rule 206(4)-7.

2025-12-16 11 min
Compliance Operations

Preparing for Your SEC Exam: A Step-by-Step Guide

A practical guide to preparing for an SEC examination, including document organization, key areas of focus, and common pitfalls.

2026-01-06 12 min
Compliance OperationsFeatured

The Complete RIA Compliance Checklist for 2026

Every compliance task and deadline your RIA needs to address this year, from annual reviews to regulatory filings.

2026-01-14 16 min
Industry NewsFeatured

The State of RegTech in 2026: Trends Every Compliance Officer Should Watch

Key trends shaping the regulatory technology landscape, from AI-powered analysis to real-time monitoring and predictive compliance.

2026-01-28 10 min
SEC ComplianceFeatured

SEC Marketing Rule Enforcement 2026: Key Findings from Recent Exams

Analysis of SEC examination findings and enforcement actions related to the Marketing Rule, with lessons for compliance teams.

2026-02-04 11 min
Product Updates

Product Update: Faster Analysis, Better Flagging, and What We Learned from Our First 1,000 Reviews

What we shipped this quarter, what we learned from reviewing real marketing materials, and where we're headed next.

2026-02-10 5 min
Industry News

Why 82% of SEC Exams Cite Marketing Rule Deficiencies

Understanding why marketing compliance is the top deficiency area in SEC exams, and what your firm can do to be in the compliant 18%.

2026-02-18 7 min
Industry News

From Manual to Automated: The Compliance Technology Maturity Model

A framework for understanding where your firm falls on the compliance automation spectrum, and how to advance to the next level.

2026-03-04 9 min
Industry NewsFeatured

Choosing Compliance Software: The Buyer's Guide for RIAs and Broker-Dealers

Everything you need to evaluate, compare, and choose the right compliance software for your financial advisory firm.

2026-03-11 14 min
State RIA ComplianceFeatured

State-Registered vs. SEC-Registered RIA: Which Are You and Why It Matters

Understanding the critical differences between state and SEC registration, including AUM thresholds, regulatory requirements, and when to transition.

2025-06-19 12 min
State RIA Compliance

The Complete Guide to State Investment Adviser Registration Requirements

Everything you need to know about state IA registration, from Form ADV filing through IARD to ongoing compliance obligations.

2025-07-08 14 min
State RIA ComplianceFeatured

NASAA's New Marketing Rule Proposal: What State-Registered Advisors Need to Know

Breaking down the proposed NASAA model marketing rule amendments and their impact on state-registered investment advisors.

2025-07-29 10 min
State RIA Compliance

Multi-State RIA Registration: How to Stay Compliant Across State Lines

Navigating the complexity of operating as an investment advisor across multiple states, including notice filing, coordinated exams, and compliance management.

2025-08-12 11 min
State RIA Compliance

When to Switch from State to SEC Registration: The $100M Threshold Guide

A practical guide to the AUM thresholds that trigger SEC registration, the transition process, and how to plan for the switch.

2025-08-26 9 min
Compliance OperationsFeatured

The Solo Advisor's Compliance Handbook: A Complete Guide for 1-2 Person RIAs

Essential compliance guidance designed specifically for solo practitioners and small advisory firms with limited compliance resources.

2025-09-09 15 min
Compliance Operations

Annual Compliance Review Template for Small RIA Firms

A practical template and walkthrough for conducting your annual compliance review, tailored for small advisory firms.

2025-09-30 10 min
Compliance Operations

DIY Compliance vs. Outsourced CCO vs. Software: The Cost Comparison for Small RIAs

A detailed cost and capability comparison of the three main compliance approaches available to small advisory firms.

2025-10-14 11 min
Compliance Operations

5 Compliance Mistakes That Get Small RIAs in Trouble with State Regulators

The most common compliance failures that lead to deficiency letters, enforcement actions, and regulatory sanctions for small advisory firms.

2025-10-28 8 min
Compliance Operations

Building a Compliance Program from Scratch: A Step-by-Step Guide for New RIAs

A comprehensive first-year guide to establishing a compliant advisory practice, from registration through your first annual review.

2025-11-11 13 min
State RIA Compliance

Texas RIA Compliance Guide: Registration, Notice Filing, and Marketing Rules

Everything Texas-registered investment advisors need to know about compliance with the Texas State Securities Board requirements.

2025-11-25 10 min
State RIA Compliance

Florida Investment Adviser Requirements: A Complete Compliance Guide

A comprehensive guide to Florida investment adviser registration and compliance requirements under the Office of Financial Regulation.

2025-12-09 10 min
State RIA Compliance

New York Investment Adviser Compliance: Navigating the AG's Office

Understanding the unique compliance landscape for investment advisers registered with the New York Attorney General, including Martin Act implications.

2025-12-23 11 min
State RIA Compliance

Illinois RIA Compliance: State Requirements and How to Stay Ahead

A guide to Illinois investment adviser compliance under the Secretary of State Securities Department, including registration and examination focus areas.

2026-01-07 9 min
State RIA ComplianceFeatured

California Investment Adviser Compliance: What You Need to Know in 2026

A state-specific compliance guide for California-registered investment advisers, covering DFPI requirements, fees, and examination expectations.

2026-01-21 11 min
Industry NewsFeatured

Why 76% of State-Registered RIAs Have No Dedicated Compliance Staff

Analyzing the compliance staffing gap at state-registered advisory firms and practical solutions for firms operating without dedicated compliance personnel.

2026-02-11 8 min
Industry News

State Regulators Are Increasing Exams — Is Your Firm Ready?

Recent data shows state securities regulators are dramatically increasing examination frequency. Here is what advisors need to know to prepare.

2026-02-25 7 min
Industry News

The True Cost of Non-Compliance for Small Advisory Firms

Beyond fines: understanding the full financial and operational impact of compliance failures on small advisory firms.

2026-03-04 9 min
AI & Compliance

AI-Powered Compliance for Small Firms: Leveling the Playing Field

How artificial intelligence is making enterprise-grade compliance capabilities accessible and affordable for small advisory firms.

2026-03-07 10 min
State RIA Compliance

From State-Registered to SEC-Registered: A Compliance Transition Playbook

A detailed operational playbook for managing the transition from state to SEC registration, including timelines, filings, and client communications.

2026-03-11 13 min

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