News

Essential Edge in the News

Essential Edge

Beyond The Horizon: Know The Business

November 24, 2025

Essential Edge

Essential Insights: SEC 2026 Examination Priorities

November 20, 2025

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Advisor Hub

Don’t Fumble on First and Goal: Last-Minute Transition Fails and How to Avoid Them

November 18, 2025

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Wealth Solution Report

Tracking Advice: Industry Regulatory Change At The DOL And SEC

November 12, 2025

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Alternatives Watch

Essential Edge Taps Askari Foy as Outsourced Chief Compliance Officer

November 5, 2025

Essential Edge

Essential Insights: The “FINRA Forward” Initiative

November 5, 2025

Alternatives Watch

Todd Spillane Assumes New Role as President of Essential Edge Outsourcing

October 21, 2025

Morningstar

Essential Edge Appoints Financial Services Industry Veteran Todd Spillane as President

October 21, 2025

Wealth management compliance staffing options analysis.

Alternatives Watch

What Is Driving Increased Reliance on Outsourced Compliance Services by Wealth Management Firms?

September 24, 2025

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AdvisorHub

What Does It Take To Build A Great Wealth Management Tech Stack?

September 11, 2025

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InvestmentNews

FINRA Suspends Centaurus Broker Who Piled Clients Into REITS, BDCs

August 22, 2025

Financial Advisor

Larry Roth Converts M&A Advisory Firm To Broader Consulting Network

August 7, 2025

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WealthManagement

Larry Roth Rebrands Wealth Consultancy, Brings On Former Securities America CEO

August 7, 2025

ThinkAdvisor

Larry Roth, Fellow Industry Vets Launch 'Elite Consultancy' Network

August 07, 2025

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InvestmentNews

FINRA Fines 2nd BD for Misleading Communication with Clients About Crypto

July 28, 2025

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AdvisorHub

How Are Large Enterprises Affiliated with Dual Registrant Platforms Positioned For Future Growth?

July 18, 2025

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AdvisorHub

A Conversation with Bill Sowell, Founder and CEO of Sowell Management on IBD Consolidation

July 15, 2025

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AdvisorHub

A Conversation with Cambridge Investment Research Founder Eric Schwartz

June 23, 2025

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Wealth Solutions Report

Regtech Rapidly Changes, Reflected in New CEO of Smarsh

June 15, 2025

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Wealth Solutions Report

Taking A Deep Dive Into Pooled Employer Plans

June 3, 2025

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InvestmentNews

Judge OKs Release of $400 Million to Besieged GPB Investors

April 21, 2025

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AdvisorHub

Essential Edge and RegEd Partner to Deliver “End-To-End Outsourced Solution” for Branch Exams

April 17, 2025

InvestmentNews

Layoffs Looming in Wild 2025?

April 16, 2025

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Wealth Solutions Report

WSR Honors PRO 4: Top Wealth Management Professional Services Firms

April 5, 2025

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AdvisorHub

Investment Management Strategies and Solutions Trends Shaping 2025

March 21, 2025

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AdvisorHub

Crypto’s Renewed Relevance for Wealth Management: is Your Firm Prepared?

March 4, 2025

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InvestmentNews

Convicted of Fraud, GPB Executives Object to Plans to Return Money to Investors

February 19, 2025

InvestmentNews

Finra Ends Year with Penalties against Big Banks

January 3, 2025

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AdvisorHub

SEC Oversight in 2025: Exam Priorities and Political Realities

February 10, 2025

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InvestmentNews

Cambridge, Lincoln Among Firms Hit by SEC's $81M Fine Blitz

February 09, 2025

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InvestmentNews

SEC Slams Wells Fargo, Merrill with $60 Million in Penalties Over Clients’ Cash

January 17, 2025

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AdvisorHub

Ready for Launch? The Role of RegTech in the RIA Start-up Process

November 4, 2024

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AlternativesWatch

How Does Your Cybersecurity Tech Stack Stack Up?

October 30, 2024

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Wealth Solutions Report

Artificial Intelligence in Regtech: The Real Deal?

October 29, 2024

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AdvisorHub.com

A New Company Highlights the Compliance and Governance Implications of Serving the UHNW Segment

October 28, 2024

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AdvisorHub.com

Cybersecurity in Wealth Management: Addressing Emerging Threats; Embracing Effective Solutions

October 22, 2024

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InvestmentNews

SEC Penalizes Brighton Securities Over Fee Disclosures, Conflicts

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InvestmentNews

Convicted GPB Executives Want a Get Out of Jail Card

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InvestmentNews

Fake South Florida Advisors Target Venezuelan-Americans in Scheme, SEC Alleges

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AdvisorHub.com

AcquireUp Now One of Largest Independent Marketing Firm for Financial Advisors

September 24, 2024

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Investmentnews

Posing as a Broker, Maryland Insurance Agent Grabs Clients' Savings

August 29, 2024

AvisorHub.com

A Bolt Out of the Blue: What the CrowdStrike Contagion Can Teach Wealth Management

August 22, 2024

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Roll Call

Wall Street Could be Cautious of Walz’s Seat on State Board

August 7, 2024

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Wealth Solutions Report

How Remote Work Affects the Competition for Top Talent

August 2, 2024

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Investmentnews

FINRA Employees Saw a 4.7% Comp Bump in 2023

July 17, 2024

InvestmentNews

Finra Bars Two Ex-Raymond James Advisors Who Sold Unapproved Products

June 25, 2024

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Investmentnews

SEC Sued Over Broker-Dealer Texting Fines Data

June 6, 2024

Investmentnews

SEC Bars Former Advisor, Crypto Trader

May 31, 2024

fa-mag.com

FINRA To BDs: Don't Blame Us For Your Back-To-Office Mandates

May 23, 2024

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investmentnews

Interactive Brokers Latest BD to Report Data Breach

May 21, 2024

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ABC27

Alex David Joins Advisory Board

April 23, 2024

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WealthManagement

Colorado Securities Head Moves to Halt 'Imposter' Firms

April 15, 2024

Investmentnews

Finra Fines Spike 63% in 2023: Report

March 13, 2024

Investmentnews

SEC Wants LPL to Pony Up $50 Million Over Messaging Apps, Texts

February 23, 2024

WGNTV

Essential Edge Commences Next Stage of Strategic Growth Plan by Naming New Board of Advisors

Feb 16, 2024

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Wealthmanagement

Kitces Podcast Sparks Debate on Google Reviews

February 6, 2024

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Investmentnews

Reg BI Enforcement Poised to Take Next Step

January 15, 2024

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Investmentnews

Online Brokers Misstep in Securities Lending: Finra

December 06, 2023

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IGNITES

Court Throws Out Crypto Case Against SEC

August 1, 2023

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Financial Advisor IQ

'No Substitute' for In-Person? Industry Watchers Knock Remote Exams

January 16, 2023

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Wealth Solutions Report

Rising Compliance Risks Of NOT Discussing Life Settlements

June 25, 2023

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wealthmanagement

'Pig-Butchering' Scams a Top Investor Threat, According to State Regulators

April 21, 2023

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IGNITES

Commonwealth Found Liable for Rev-Share Disclosure Failures

April 11, 2023

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NSCP Currents

FINRA’s Social Media Influencer Guidance: A Conversation Between Sander Ressler and Tom Selman

April 01, 2023

wealthmanagement

How Workable Are FINRA’s ‘Finfluencer’ Tips for Firms?

March 1, 2023

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Investment News

Brokerages Need to Update Tech Systems to Show Reg BI Work to SEC

February 01, 2023

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wealthmanagement

Advisor Group B/Ds Dodge Fines in Settling FINRA Charges

January 27, 2023

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Wealth Solutions Report

Compliance Rescues Firms and FAs From Crypto Dumpster Fire

January 10, 2023

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Wealth Solutions Report

ComplyConnect Spotlights Industry’s Top Regulatory Priorities

December 01, 2022

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wealthmanagement

is a Great FINRA Purge Coming?

August 26, 2022

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Investmentnews

Broker-Dealers and Bitcoin ETFs: To Sell or Not to Sell?

January 11, 2024

Wealth Solutions Report

Downstream WhatsApp Regulatory Woes for Wealth Managers

August 15, 2022

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Investment News

FINRA Proposes 3-Year Pilot Program for Remote Office Inspections

August 02, 2022

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Wealth Solutions Report

Supreme Court’s EPA Ruling Could Kill Fiduciary Rule 2.0 Efforts

July 22, 2022

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Wealth Solutions Report

Breakaway Advisors Launching RIAs Anxious About Compliance

June 30, 2022

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wealthmangement.com

Report Finds 'No Evidence' of Secret Agreement Between Wells Fargo, FINRA

June 30, 2022

A young woman looks upset while several hands point at her.

Wealth Solutions Report

The Kids Are NOT All Right – Why HNW Wealth Managers Caved On Crypto

June 8, 2022

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Wealth Solutions Report

Crypto Enters Crypt Of Horrors – How Can Firms and FAs Protect Themselves?

May 22, 2022

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wealthmanagement

Decade-Old Dustup Continues to Haunt FINRA

April 1, 2022

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Investment News

Brokerages Want Remote Office Inspections to be Part of New Normal

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Wealth Solutions Report

The Future of Wealth Management Workflow Automation

February 28, 2022

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Wealth Solutions Report

Case Study – How Small IBDs Can Leverage Compliance To Accelerate Growth Turnaround Strategies

January 15, 2022

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Wealth Solutions Report

Every Financial Advisor’s Worst Crypto Nightmare

December 1, 2021

Hand holding a Bitcoin coin in front of a computer screen showing financial graphs.

Wealth Solutions Report

The Crypto Craze Could Murder Financial Advisors’ Careers

November 1, 2021

RegEd Webinar

Branch Inspections: Enforcement Trends, Regulatory Developments and the Latest Best Practices

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Digital Wealth News

Rising Focus on Employee Compliance with Cryptocurrency Trading

August 23, 2021

A woman stressed while working on a laptop at a dimly lit desk.

WealthManagement

Help! my First-Ever Client Complaint!

August 22, 2021

WealthManagement

Branch Inspections: Enforcement Trends, Regulatory Developments and the Latest Best Practices

July 15, 2021

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IGNITES (a Financial Times Publication)

Foreside Snaps Up Compliance Firm

June 22, 2021

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Wealth Solutions Report

Don’t Ask Forgiveness versus Permission

June 1, 2021

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WealthManagement

Essential Edge is a Wealthies Finalist for Best Compliance/Law Firm!

June 1, 2021

A Bitcoin coin in front of a financial chart on a screen.

Digital Wealth News

Future Crypto Regulations Take Center Stage in Wealth Management

May 17, 2021

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Wealth Solutions Report

Silence Of the Spouses – Beware!

April 15, 2021

Man in a suit working on a laptop by a window.

Wealth Solutions Report

Product Conflicts and Employee Harassment?

April 15, 2021

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WealthManagement

FINRA to Resume In-Person Hearings in July

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WealthManagement

PIABA Pushes FINRA to Resume In-Person Arbitration Hearings

Person working on multiple laptops and a tablet at a desk.

InvestmentNews

Remote Compliance Rises to the Challenge

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Digital Wealth News

RegTech Firm Smarsh’s Annual Survey Underscores Rising Compliance Risks of Remote Work Model

February 22, 2021

Person reviewing financial documents with a calculator on the desk.

Financial Advisor IQ

SEC to Prioritize Reg BI Compliance, Order Routing in 2021 B-D Exams

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Digital Wealth News

Post-GameStop, Future Compliance Risks Could Reshape Wealthtech

February 8, 2021

RegEd Webinar

Maximizing Value From Your Branch Office Exams During Covid-19 and Beyond

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InvestmentNews

Letter to the Editor on Branch Exams

October 5, 2020

Man in suit focused on computer screen at desk.

WealthManagement

Cure for Branch Exams During Covid-19

July 20, 2020

Professional woman sitting at desk with bookshelves behind.

Financial Advisor

Finra is Failing on Guidance For Post-Pandemic Branch Examinations

May 11, 2020

Modern glass office building with American flags at entrance.

WealthManagement

SEC Holds Firm on June 30 Reg BI Implementation Date

April 2, 2020

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IGNITES (a Financial Times Publication)

COVID 19 Could Potentially Push SEC to Delay Reg BI

March 27, 2020

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WealthManagement

COVID-19 Could Be a Harsh Test for Advisors’ Business Continuity Plans

March 11, 2020

Man adjusting his suit jacket in a formal setting.

WealthManagement

The Legal Risks of Failing to Disclose Up-Front Bonuses

January 14, 2020

Businessman in suit gesturing during a meeting.

Real Assets Adviser

Roundtable: Modernizing SEC and FINRA regulations?

December 1, 2019

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ThinkAdvisor

Here's Why to Go With an Outsourced Compliance Pro

November 26, 2019

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Financial Advisor

Essential Edge Launches OSJ/IBD Branch Compliance Inspection Service

August 16, 2019

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WealthManagement

New Consultancy Goes after Thorny IBD Branch Exams

August 13, 2019