Insights
Regulation S-P Updates
The Securities Exchange Commission’s (SEC) long-awaited Regulation S-P updates are being rolled out. These policies were effective for large firms on December 3rd, 2025. Smaller firms have until June 3rd, 2026, to implement these policies.
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Beyond the Horizon: Understand the Business
First and foremost, it is critical that compliance professionals understand the business, how it works at your firm and why! If you do not understand the business, how can you provide good advice and counsel?
Read more →SEC 2026 Examination Priorities: an Essential Summary
Each year, the Securities and Exchange Commission (SEC) publishes their annual examination priorities to encourage firms to direct their compliance efforts in these areas.
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Essential Edge in the news
Essential Edge and its people in the trade press, newest first: Wealth Solutions Report, InvestmentNews and Ignites.
Read more →FINRA’s Modernization: the “FINRA Forward” Initiative
Robert Cook, President and CEO of FINRA, recently published a blog featuring an update on the FINRA Forward Initiative, elaborating upon how enforcement practices are evolving.
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Elder Abuse and Financial Exploitation: Senior Investor Protections
Financial professionals often find themselves on the front lines as many of their client relationships span decades and they may be the first to recognize signs of diminished capacity and/or financial exploitation.
Read more →Sander Ressler's Wealth Solutions Report columns
Sander Ressler writes for Wealth Solutions Report. Here are his columns, newest first, each with its opening lines and a link to the full piece.
Read more →Branch Inspections: Regulatory Developments and Best Practices
Sander Ressler, Managing Director of Essential Edge Compliance Outsourcing Services, LLC, spoke on this branch inspections panel at RegEd Engage 2025 on April 25, 2025.
Read more →Decoding FINRA Rule 3110: Key Insights for Branch Inspections
In this webinar, we'll explore FINRA’s Remote Inspections Pilot Program, FINRA Rule 3110, the new Residential Supervisory Locations (RSLs).
Read more →FINRA’s Social Media Influencer Guidance: A Conversation Between Sander Ressler and Tom Selman
On February 28, 2023, the Financial Industry Regulatory Authority, Inc. (FINRA) provided a notice relating to social media influencers, customer acquisition and related information protection.
Read more →Maximizing Value From Your Branch Office Exams During Covid-19 and Beyond: A Hands-on Perspective
In many ways, branch inspections were the only windows into the conduct of a RR. In the past 10 years, imaging workflow has eliminated the issue of applications being submitted directly to product issuers.
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