In March 2026, StratiFi attended the IAA Annual Conference where the SEC's Division of...
SEC examinations are becoming broader, more data-driven, and increasingly focused on how advisory...
The SEC provides no bright-line rule on trade frequency. This is not a relief for compliance...
Most RIAs treat wash sales as a client tax problem. When a client realises a loss on a security...
In March 2026, StratiFi attended the IAA Annual Conference where the SEC's Division of...
In March 2026, the SEC's Division of Examinations named dually registered advisers — firms...
SEC compliance requirements require RIAs and broker-dealers to go beyond merely having written...
Each year, the SEC's Division of Examinations publishes its examination priorities — a...
Rule 206(4)-7 annual review is one of the most consistently cited deficiency areas in SEC...
SEC exam preparation for investment advisors is not an event — it is a continuous discipline. Yet...
For RIAs, compliance is no longer a periodic obligation handled during scheduled reviews or annual...
%2010.svg){kind=logo}
