Resources
AI Use and Oversight: Key Considerations for Financial Services Firms
Artificial intelligence is becoming part of the everyday technology financial services firms use, often without a firm making a…
SEC 2027 Exam Priorities: 9 Areas Investment Advisers Should Prepare For Now
On October 23, 2026, the SEC’s Division of Examinations released its Fiscal Year 2027 Examination Priorities, offering investment advisers an…
FINRA Rule 3290: A Significant Shift in the Supervision of Outside Business Activities
On September 15, 2026, the SEC approved FINRA Rule 3290, a significant modernization of the framework governing associated persons’…
CLIENT ALERT: SEC Proposes Rescission of the Investment Adviser Pay-to-Play Rule
For more than 15 years, the SEC’s investment adviser “pay-to-play” rule has been one of the industry’s most consequential…
Potential Changes to FINRA Rule 2210: Broker-Dealer Retail Communications
FINRA has published proposed amendments to Rule 2210 Communications with the Public that would significantly modernize the supervisory framework…
WEBINAR: Prediction Markets – Opportunities, Risks and the New Compliance Frontier
Prediction markets are rapidly expanding, creating new opportunities—and new risks—for financial services firms. As employees gain access to platforms…
WEBINAR: Culture and Talent Considerations at Financial Services Firms
Join FiSolve for a one-hour webinar focused on the shifting culture and talent dynamics shaping the financial services sector…
2026 FINRA Compliance Calendar
At FiSolve, we appreciate the challenges you face in the day-to-day operations of running a business, while also ensuring…
2026 Regulatory Filings Calendar
To help you navigate the year ahead from a regulatory perspective, we created an essential resource that we’d like…
WEBINAR: 2026 Compliance: Preparing for ADV Filing Season and Annual Reviews for Investment Advisers
Join FiSolve for a one-hour webinar focused on Form ADV filing requirements and annual compliance reviews under Rule 206(4)-7…
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