White Lens Flare – Black Background

Related Content

Professional wealth management firm group discussing FINOP red flags

Article

FINOP Red Flags and Focus Areas

For broker-dealers, regulatory exams are a fact of life. How well you prepare often determines whether your firm emerges with a clean report or faces scrutiny, fines, or even enforcement actions. One of the most critical areas of regulatory focus is financial and operational compliance, making the Financial and Operations Principal (FINOP) a key player […]

Learn More

Thoughtful business exec represents standards of care

Podcast

Reg BI and Fiduciary Obligations

Taking Standards of Care from Policy to Practice In Part 2 of this Oyster Stew conversation, Ed Wegener continues the discussion with compliance experts Brent Nicks and Len Derus—this time focusing on the most pressing challenges firms face in applying Reg BI and fiduciary duty in practice: documentation, compensation conflicts, and rollover recommendations. The episode […]

Learn More

evening business buildings represent NASAA member exams

Blog

NASAA Membership Exams Provide Insight for Investment Advisers

Common Compliance Gaps for Investment Advisers The North American Securities Administrators Association (NASAA) has released its 2025 Coordinated Investment Adviser Exams Report, offering valuable insight into common compliance gaps and areas of regulatory concern for state-covered investment advisers. Based on 1,086 examinations conducted between February 1 and July 31, 2025, the report identified 3,402 violations […]

Learn More