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US Insights

September 29, 2026

FINRA Rule 3290 approved: what changes for outside activities?

The SEC has approved FINRA Rule 3290 to replace Rules 3270 and 3280. Learn what changes for outside activities, what firms should prepare and why the effective date matters.

US Insights

September 24, 2026

Growth marketing in a regulated business: what the fastest US fintechs do differently

The fastest US fintechs treat approval speed as a growth metric. Six things they do differently under SEC and FINRA rules, based on 44,418 promotions.

US Insights

September 4, 2026

FINRA Rule 2210 Risk-Based Review: How Broker-Dealers Can Prepare

FINRA has proposed risk-based supervision for retail communications. Learn what may change, what stays the same and how broker-dealers can prepare.

US Insights

August 11, 2026

AI washing and the SEC Marketing Rule: what an AI claim costs in 2026

AI-related securities class actions carried $385bn of alleged losses in H1 2026. What the SEC Marketing Rule and the FCA require before "AI-powered" goes live.

US Insights

August 7, 2026

Advertising Compliance Software for US Financial Services Teams

Advertising compliance software reviews marketing before it publishes. How FINRA 2210 and the SEC Marketing Rule shape what to buy, and what archiving can't do.

US Insights

July 29, 2026

SEC testimonial and endorsement rules: what the 2026 exam focus means for wealth platforms

The SEC's December Risk Alert put testimonials, endorsements and third-party ratings at the centre of 2026 exams. What the Marketing Rule requires.

US Insights

July 16, 2026

RIA Marketing Compliance: The SEC Marketing Rule Guide

A guide to marketing compliance for US RIAs under the SEC Marketing Rule, covering testimonials, performance, substantiation and enforcement.

US Insights

July 15, 2026

What the UK-US stablecoin statement means for financial promotions compliance

The UK and US just agreed a shared path for stablecoins. Financial promotions rules didn't converge with it. What marketing and compliance teams do next.

US Insights

July 6, 2026

Crypto & Futures Marketing Compliance in the US (2026)

The rulebook for promoting crypto and futures in the US — NFA 2-29's 10-day rule, CFTC enforcement, and where marketing teams get caught.

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