Legacy Notes
Legacy notes from the earlier product experiment.
These articles are retained for context because they helped shape the Compliance Flag value proposition. They are not current project documentation and should not be treated as compliance guidance.
Legacy content notice
These posts were written during an earlier SaaS exploration and were not reviewed by legal or compliance professionals. Use the open-source repository, documentation, sample report, and rule-boundaries page as the source of truth for the project.
The Compliance Pressure Building on Small RIAs
Small advisers often have marketing 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
An online 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.