The Compliance
Practitioner-led coverage of SEC marketing rule enforcement, FINRA modernization, AI governance, and exam priorities — for the CCOs, partners, and outsourced compliance teams who own the work.
"I spent eight years at the SEC writing deficiency letters. Now I write essays explaining why those letters get written. The goal of this desk is to make every reader materially better at examination defence — no theory, no fluff."
Featured & latest
AI in Wealth Management Compliance: A Complete Guide for 2026
What SEC and FINRA examiners actually expect from RIAs using AI tools right now — and the four-layer governance framework most firms still haven't built.
FINRA Forward: A Practitioner's Guide to the Regulatory Modernization Initiative
The SEC's Quiet Pivot from Fiduciary Duty to AI Diligence
100% Communications Monitoring: Why 5% Is Indefensible
What RIAs Can and Cannot Say in Their Marketing in 2026
Reading the 2026 SEC Examination Priorities — Line by Line
The Compliance Brief.
A short, focused brief published on a regular cadence — covering the single development on this desk that mattered most. Written by the desk, never repackaged from press releases.
Subscribe to The Compliance Brief →The Q1 deficiency-letter pattern nobody is talking about
What changed in the 2026 examination playbook this quarter
The off-channel comms probe extends — 23 BDs, what's next
Why the Marketing Rule guidance update reads differently this year
Upcoming roundtables
What's Changing in Wealth Management Compliance in 2026?
SEC enforcement priorities, FINRA modernization, and AI governance requirements. Three practitioners, one 40-minute conversation.
AI-Powered Compliance: Building a Supervision Framework That Passes Examination
How to design and document an AI supervision framework that satisfies FINRA examiners — with real examples from firms that have been through the process.
Resources you'll actually use.
The CCO's AI Governance Checklist
47 points mapped to the four-layer governance framework. Built from actual deficiency-letter patterns. Updated quarterly.
Exam Readiness Self-Assessment
20 questions across four governance layers. Get a personalised score, priority actions, and a downloadable report in five minutes.
2026 Annual Compliance Calendar
Every compliance obligation for an RIA on a single printable wall calendar. Print and pin it next to your desk.
The contributors.
Sarah Chen, JD
Former SEC Enforcement Attorney · 8 years in the Division
Marcus Reid, CFP®
Chief Compliance Officer · $4.2B independent RIA
Anita Kapoor
Former FINRA Examiner · Senior Compliance Counsel
Rahul Sinha
Writes long-form analysis across desks. Compliance focus.
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Every Tuesday morning: The Compliance Brief (4 min read), plus a heads-up on the week's upcoming roundtables and any new resources. No content from other desks. Unsubscribe in one click.