Google Workspace Settings for SEC and FINRA Compliance Google Workspace Settings for SEC and FINRA Compliance Google Workspace can run a lean RIA. It can also leave a lean RIA exposed if Gmail, Drive, Chat, and Vault are left in their default state. That is the trap. Google Workspace has many of the pieces an adviser needs for electronic records, supervision, access control, and retrieval. But those pieces sit in different places: the Admin console, Google Vault, security set

Microsoft 365 SEC Compliance Guide for Investment Advisers Microsoft 365 SEC Compliance Guide for Investment Advisers Microsoft 365 can hold almost every record an advisory firm creates, but that does not mean it preserves those records the way regulators expect. Exchange Online may keep your email moving. SharePoint and OneDrive may make file access easier. Teams may help staff communicate faster. Still, the default setup is built for productivity, not SEC or FINRA recordkee

Understanding Colorado's New Investment Adviser Licensing Rules: What You Need to Know Understanding Colorado's New Investment Adviser Licensing Rules: What You Need to Know If your Registered Investment Adviser (RIA) firm conducts business in Colorado, recent changes to the state's licensing requirements demand your attention. Starting August 12, 2026, the Colorado Division of Securities has updated regulations that affect who must register or file notices in the state. Thes

Understanding the Impact of NASAA’s Model Advertising Rules on RIA Marketing Strategies Understanding the Impact of NASAA’s Model Advertising Rules on RIA Marketing Strategies The regulatory environment for investment adviser advertising is changing rapidly. After the SEC updated its Marketing Rule, state securities regulators have been working to align their own rules with these new standards. The North American Securities Administrators Association (NASAA) created a Model A

Navigating the Evolving Landscape of Private Placement Due Diligence for RIAs Navigating the Evolving Landscape of Private Placement Due Diligence for RIAs State-registered Registered Investment Advisers (RIAs) face increasing scrutiny from state securities regulators, especially regarding private placement recommendations. While the SEC has eased some rules around exempt offerings, state regulators and the North American Securities Administrators Association (NASAA) have int