Communications Compliance Blog
Industry insight for SEC and FINRA regulated firms, from a team that comes from the industry: what examiners look for, what the rules require, and what to do about it.
What FINRA's 2026 Oversight Report Means for AI and Recordkeeping
For the first time, FINRA's oversight report addresses generative AI. What it says, what it does not say about prompts, and where the notes from AI meeting assistants belong.
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Communications Supervision
Alert Fatigue: The Hidden Cost of Keyword-Based Communications Supervision
95 to 98 percent of flagged messages are false positives. Why keyword supervision produces them, and what changes when review reads language in context.
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CRM Integration
From Text Threads to Audit Trails: How CRM Sync Drives Scalable Communications Compliance
Most violations begin with a contact update that never reached the archive. How syncing the CRM to the archive keeps coverage current without manual upkeep.
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SEC Marketing Rule
SEC Clarifies Marketing Rule on Fees and Testimonials: What RIAs Need to Know
The SEC's January 2026 FAQ did not change the Marketing Rule, but it changed two things RIAs should review: disciplinary histories in paid testimonials, and model fees in performance advertising.
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Communications Oversight
Does Client Communication Make You Feel Like a Moving Target?
Client conversations now move across texts, direct messages, and replies. Why the oversight challenge is visibility, and what capturing communication in context looks like.
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Off-Channel Risk
Mind the Gap in Communications Oversight
Six steps to modernize text capture, from approving the channel to replacing manual capture, in the order a firm should take them.
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