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3 articlesmarket-research
market-research
Inside the 2025–26 exam cycle: what regulators are asking about AI
The SEC made AI and emerging technology a named examination priority for 2025, and the Division of Examinations is publishing risk alerts that read like a roadmap. Here's what the exam-priority data signals — and how to read it as a firm.
Jun 23, 2026 · 3 min
market-research
market-research
The AI governance gap: adoption is racing ahead of supervision
63% of RIAs now use AI, but only about one in ten have integrated it at the firm level. That gap between bottom-up adoption and top-down supervision is the defining governance story of 2026 — and the one regulators are built to find.
Jun 23, 2026 · 3 min
compliance
compliance
FINRA-defensible AI research: what advisors actually need
AI can draft research in seconds — but if you can't show where a number came from, it's a compliance liability. Here's what makes AI research defensible for RIAs.
May 27, 2026 · 3 min