2026 Compliance Calendar Priorities for SEC Registered Firms

Regulators are returning to the fundamentals. Over the last year, the SEC has reinforced expectations around program effectiveness and fiduciary care – expectations that form the foundation of your compliance calendar, from testing to reviews to documentation. As firms adopt AI and emerging technologies, those core tasks carry even more weight.

Join Comply’s regulatory experts for a practical, forward-looking webinar on the compliance tasks that should anchor your 2026 calendar.

This session will cover:  

• Key takeaways from the SEC’s recent exam priorities and Marketing Rule risk alert, plus context from FINRA’s latest report
• A look into the increased regulatory focus on AI – and how to navigate it
• Core reviews, tasks, and to-dos your firm needs to have on its compliance calendar
• Best practices your firm can implement today to proactively meet regulatory requirements

1 IACCP® continuing education credit will be offered for this webinar.

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