Blog
Notes on RIA marketing, public wording, and SEC review risk.
The point is to look closely at language that can matter in review: testimonials, disclosures, exam priorities, and claims that may seem ordinary until someone has to defend them.
The Compliance Pressure Building on Small RIAs
Small advisers often have public materials to review and only a few people to review them. That is where Marketing Rule risk can become less theoretical, especially before an exam.
SEC 2026 Exam Priorities: What RIAs Should Review Before an Exam
The 2026 priorities put marketing compliance beside supervision, cybersecurity, AI, and the basic question of whether the compliance program actually works.
Google Reviews and the Marketing Rule Questions They Can Raise
A public review may look informal. The harder questions are who asked for it, how it was reused, and whether the disclosures are clear enough for the way a reader will understand it.
An SEC Marketing Rule Checklist for Reviewing RIA Content
The checklist follows the rule's structure so reviewers can get past general impressions and look at specific claims, disclosures, testimonials, and records.