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The latest news from around the securities industry.

2026 SEC Examination Priorities Key Focus Areas & What to Expect spotlight blog graphic

Spotlight: 2026 SEC Exam Priorities

A concise breakdown of the SEC's Fiscal Year 2026 Examination Priorities and what they mean for investment advisers, broker-dealers, and compliance professionals.

2026 SEC Exam Priorities Reviewing Key Focus Areas & What to Expect blog text over securities professional typing on a laptop

SEC Examination Priorities 2026: Key Changes & Preparation Guide

A deep dive into the 2026 SEC Exam Priorities. We break down the shift from documentation to execution and what it means for AI, Reg BI, and compliance risk.

Complete Guide to NASAA's IAR Examination Validity Extension Program (EVEP) securities industry blog image

All About NASAA's IAR Examination Validity Extension Program (EVEP)

A Complete Guide to NASAA's Investment Advisor Representative (IAR) Examination Validity Extension Program (EVEP)