WSR’s Editor in Chief, Julius Buchanan, moderated a webinar featuring compliance experts Todd Spillane, President, and Sander Ressler, Co-Owner & Managing Director, of Essential Edge Compliance Outsourcing Services on January 29.
Ressler and Spillane addressed the shifting needs of broker-dealers and RIAs in light of the SEC’s announced priorities for 2026, as well as FINRA’s current approach and priorities, covering a broad array of subjects including what’s new for 2026, how the SEC is approaching AI, cybersecurity and technology; retail protection, including the elderly; fiduciary standards and Regulation Best Interest; and more.
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