Beltway & Beyond

Dear Ryan: Technically Compliant, Culturally Complicit

Ryan George Advises A Compliance Leader On How to Turn A Regulatory Failure Into A Productive Leadership Discussion

By WSR Newsroom

/ 10 Sep 2026

Dear Ryan: Technically Compliant, Culturally Complicit

FSI: Five Ways Congress Can Deliver For Investors

Congress Should Enact Legislation On Advisor Compensation, Financial Exploitation, Tax Treatment For Investors, Protection For ‘Abandoned’ Investments And The Taxation Of Fraud Victims

By WSR Newsroom

/ 8 Sep 2026

FSI: Five Ways Congress Can Deliver For Investors

The Rollover Compliance Reset Firms Have Been Waiting For

The Exemption Guidance Has Changed. Firms Need New Policies And Assessments To Determine When The Exemption Must Be Applied.

By WSR Newsroom

/ 27 Aug 2026

The Rollover Compliance Reset Firms Have Been Waiting For

Regtech Surge: Regulators May Not Need New AI Rules To Enforce AI Failures

AI Governance Must Be Mapped Into Existing Compliance Categories, Including Recommendations, Controls, Recordkeeping And Data Entry, Rather Than Treated As A Tech Issue

By WSR Newsroom

/ 17 Aug 2026

Regtech Surge: Regulators May Not Need New AI Rules To Enforce AI Failures

Regtech Surge: The Greatest AI Risk May Be The Usage Firms Cannot See

Exploring The Causes, Problems And Solutions To Shadow AI

By WSR Newsroom

/ 16 Jul 2026

Regtech Surge: The Greatest AI Risk May Be The Usage Firms Cannot See

Regtech Surge: Creating Defensible AI Policies For RIAs

A Defensible AI Policy Covers Vendor Oversight, Testing, Monitoring, Inventory, Training, Policy, Human Review And Documentation

By WSR Newsroom

/ 29 Jun 2026

Regtech Surge: Creating Defensible AI Policies For RIAs

Regtech Surge: The Real Challenge Behind Reg S-P Isn’t Awareness, It’s Execution

Reg S-P Is About Real Capabilities And Responsiveness, Not Documentation On A Shelf

By WSR Newsroom

/ 19 May 2026

Regtech Surge: The Real Challenge Behind Reg S-P Isn’t Awareness, It’s Execution

Regtech Surge: With AI, Everyone’s Selling The 80%. The Value Is The 20%.

To Succeed With AI, Compliance Must Keep In Mind Integration, Security, Audit Logging, The Human-In-The-Loop, Validation And Trust

By WSR Newsroom

/ 23 Apr 2026

Regtech Surge: With AI, Everyone’s Selling The 80%. The Value Is The 20%.

Guide To Industry Conferences: Compliance, Governance And Regulatory

What You Need To Know About FINRA’s Annual Conference, ComplyConnect And FSI’s Advocacy Summit And OneVoice

By Thomas Lee

/ 15 Apr 2026

Guide To Industry Conferences: Compliance, Governance And Regulatory

Modern Advisors Need Modern Commission Rules

No-Action Relief Helped, But Congress Must Make The Rules Clear And Permanent

By WSR Newsroom

/ 14 Apr 2026

Modern Advisors Need Modern Commission Rules

SurgeONE.ai To Consolidate Regulatory Tech Stack For United Planners

Partnership Brings United Planners’ Compliance Automation, Cybersecurity And Data Integration Onto A Single AI-Based Platform

By WSR Newsroom

/ 4 Mar 2026

SurgeONE.ai To Consolidate Regulatory Tech Stack For United Planners

Webinar: The SEC’s 2026 Exam Priorities: What To Know And How To Prepare

Essential Edge’s Ressler And Spillane Address What RIAs And Broker-Dealers Need To Know About Compliance In The New Year

By WSR Newsroom

/ 13 Feb 2026

Webinar: The SEC’s 2026 Exam Priorities: What To Know And How To Prepare

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