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3 articlesThe Marketing Rule meets AI content: what the latest risk alert reveals
The SEC's December 2025 Marketing Rule risk alert documents widespread non-compliance on testimonials, endorsements, and third-party ratings. As advisors start generating client-facing content with AI, that enforcement pattern is the map for what gets scrutinized.
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.
The recordkeeping reckoning: what the off-channel sweep tells RIAs about AI
The SEC's multi-year off-channel communications sweep has produced more than $2 billion in penalties. That enforcement pattern is the clearest available signal for how regulators will treat AI-generated research records next.