Our team had a blast hitting the road for two of the biggest compliance events this spring—IAA’s Compliance Conference in DC and SIFMA’s C&L Annual Conference in Austin. Between packed sessions, great conversations, and even a late-night detour to see the famous Austin bats, we walked away with some fresh insights and recurring themes.

Here are a few takeaways we’re still talking about:

The SEC’s Marketing Rule FAQ is Coming: Get Ready

At IAA, our Co-Founder Cathy Vasilev joined a full-house session on the SEC’s Marketing Rule, and confirmed what many were buzzing about: the SECwas expected to release new updates to its official Marketing Rule FAQ. These new FAQs were released to the public on March 19, 2025. These clarifications could reshape how firms handle testimonials, third-party content, and performance disclosures. If you haven’t revisited your marketing compliance workflows recently, now’s the time.

AI Is Gaining Momentum, but Oversight Is Non-Negotiable

Both conferences underscored a truth we’ve been seeing in the field: AI is being adopted quickly, but regulators (and firms) are cautious. Sessions at IAA and SIFMA emphasized the importance of “human-in-the-loop” oversight—meaning AI tools should assist, not replace, human review.

At SIFMA, standout sessions like “AI Compliance Considerations” and “Marketing and Advertising Compliance” unpacked how AI is being adopted—and challenged—inside financial services. Industry leaders like Kristi Crawford (Charles Schwab) and Shauna Blake (LPL Financial) shared their firms’ approaches to balancing automation with rigorous oversight. The message was clear: AI isn’t a future idea. It’s happening now, but it needs the right guardrails and governance to scale responsibly.

SEC Exams Are Evolving: So Should Your Prep

From regulatory changes to recent enforcement actions, exam prep isn’t what it used to be. At IAA, we heard again and again that the key to staying ready is keeping your documentation clean, your processes transparent, and your team trained on how to handle interviews. A proactive mindset matters because even as rules shift, expectations around preparedness are only rising.

Marketing + Compliance Are Closer Than Ever

Across both events, we heard how firms are rethinking their compliance/marketing relationship. Marketing teams are moving fast with influencer campaigns, social media strategies, and complex ad programs. Meanwhile, compliance teams are feeling pressure to move just as quickly—without increasing risk. The takeaway? Teams need shared tools, faster approvals, and clearer oversight. That’s where we’re focusing our roadmap.

Private Markets and Trading Hours are Shifting the Landscape

At SIFMA, new operational complexities made their way into the spotlight. The continued growth of private markets and the expansion of trading hours are creating fresh compliance challenges, especially around supervision and disclosures. These shifts are top of mind for compliance leaders and a reminder that rules aren’t the only thing evolving: the very structure of the market is too.

Conversations That Go Beyond the Booth

One theme came up again and again in hallway conversations and breakout sessions: While compliance is about protecting firms, it’s also about connecting people across teams, systems, and departments. The firms seeing the most momentum are those embracing better processes, smarter workflows, and more integrated tools.

We’ll be keeping the conversations going at FINRA’s Annual Conference in May. If you’ll be there, find us at booth #16. 

And if we didn’t get a chance to connect in person, reach out anytime. We’d love to hear how your team is thinking about the future of compliance.