The SEC fined 16 firms $81 million for off-channel recordkeeping failures. Independent advisors face the same rules — with even higher stakes. Here’s what to check today and how AI-assisted compliance tools can protect your registration.
SEC Compliance in 2026: What Every Independent Advisor Needs to Know
The SEC’s 2026 examination priorities tighten around cybersecurity, recordkeeping, and technology governance. The $81M in fines sent a clear message: the SEC is enforcing, not just advising. Here’s what every independent advisor needs to have in place.