Blogs

See the SEC 2026 exam priorities: cybersecurity, Reg S-P, AI controls, and what examiners check first at RIAs and broker-dealers.

Comparing Global Relay vs Smarsh for RIAs and broker-dealers. Compliance, archiving, pricing, and what to choose for your firm.

SEC compliance IT checklist for RIAs and broker-dealers. Cybersecurity, Reg S-P, recordkeeping, and incident response basics covered.

FINRA cybersecurity requirements for broker-dealers: written programs, risk assessments, AI controls, vendor oversight, and staff training.

SIEM for small financial firms: how SIEM detects threats, sample tools, costs, and how RIAs and broker-dealers can deploy it affordably.