broker dealer, broker dealer compliance, outsource broker dealer resources, FINRA 2210, capital markets, capital markets compliance, compliance as a service, adviser compliance, archiving communications, communications with the public, electronic communications Jay Proffitt 9/8/25 broker dealer, broker dealer compliance, outsource broker dealer resources, FINRA 2210, capital markets, capital markets compliance, compliance as a service, adviser compliance, archiving communications, communications with the public, electronic communications Jay Proffitt 9/8/25

FINRA Fines a Second Broker-Dealer Over Misleading Crypto Communications

Read More

capital markets compliance, capital markets, adviser compliance, broker dealer compliance, broker dealer, exempt reporting adviser, internet investment adviser, compliance as a service Jay Proffitt 6/9/25 capital markets compliance, capital markets, adviser compliance, broker dealer compliance, broker dealer, exempt reporting adviser, internet investment adviser, compliance as a service Jay Proffitt 6/9/25

What RIAs Should Prioritize in 2025

Read More

broker dealer compliance, adviser compliance, electronic communications, promotional material, capital markets, capital markets compliance Jay Proffitt 5/29/25 broker dealer compliance, adviser compliance, electronic communications, promotional material, capital markets, capital markets compliance Jay Proffitt 5/29/25

Navigating the SEC's Updated Marketing Rule: Key Takeaways for Private Fund Managers

Read More

adviser compliance, broker dealer compliance, capital markets compliance, compliance as a service Jay Proffitt 5/27/25 adviser compliance, broker dealer compliance, capital markets compliance, compliance as a service Jay Proffitt 5/27/25

Market Volatility and Regulatory Shifts: The Mounting Pressure on Compliance Officers

Read More

capital markets, investment adviser, registered investment adviser, broker dealer, broker dealer compliance, outsource broker dealer resources, adviser compliance Jay Proffitt 3/10/25 capital markets, investment adviser, registered investment adviser, broker dealer, broker dealer compliance, outsource broker dealer resources, adviser compliance Jay Proffitt 3/10/25

Robo-Advisor Faces Backlash Over Controversial Ads: How AICompliance360™ Prevents Marketing Compliance Risks

Read More

capital markets, investment adviser, internet investment adviser, adviser compliance, exempt reporting adviser, investment adviser compliance, registered investment adviser Jay Proffitt 3/4/25 capital markets, investment adviser, internet investment adviser, adviser compliance, exempt reporting adviser, investment adviser compliance, registered investment adviser Jay Proffitt 3/4/25

SEC Charges Investment Adviser Over AML Failures: How GiGCXOs’ AML Audits Protect Firms from Costly Penalties

Read More

SEC, investment adviser, registered investment adviser, broker dealer, broker dealer compliance, adviser compliance, capital markets, financial services Jay Proffitt 11/27/24 SEC, investment adviser, registered investment adviser, broker dealer, broker dealer compliance, adviser compliance, capital markets, financial services Jay Proffitt 11/27/24

Navigating the New Reg S-P Amendments with CyberGuard360™

Read More

capital markets, registered investment adviser, exempt reporting adviser, adviser compliance, internet investment adviser, SEC adviser consulting Jay Proffitt 10/28/24 capital markets, registered investment adviser, exempt reporting adviser, adviser compliance, internet investment adviser, SEC adviser consulting Jay Proffitt 10/28/24

How GiGCXOs’ Software and People Solutions Save Independent Advisers Thousands Annually

Read More

financial services, outsource broker dealer resources, outsource compliance, adviser compliance, broker dealer compliance, investment adviser compliance, capital markets Jay Proffitt 9/5/24 financial services, outsource broker dealer resources, outsource compliance, adviser compliance, broker dealer compliance, investment adviser compliance, capital markets Jay Proffitt 9/5/24

GiGCXOs Welcomes Steve Maiello as an Independent Consultant

Read More

fractional consulting, SEC adviser consulting, consulting, outsource broker dealer resources, investment adviser compliance, outsource compliance, adviser compliance, capital markets Jay Proffitt 9/4/24 fractional consulting, SEC adviser consulting, consulting, outsource broker dealer resources, investment adviser compliance, outsource compliance, adviser compliance, capital markets Jay Proffitt 9/4/24

Introducing the GiGCXOs Contractor Portal: Empowering Our Community of Independent Consultants

Read More

FINRA, financial services, SEC adviser consulting, outsource broker dealer resources, outsource compliance, adviser compliance, broker dealer compliance, broker dealer registration, broker-dealer, RIA, capital markets Jay Proffitt 8/21/24 FINRA, financial services, SEC adviser consulting, outsource broker dealer resources, outsource compliance, adviser compliance, broker dealer compliance, broker dealer registration, broker-dealer, RIA, capital markets Jay Proffitt 8/21/24

How GiGCXOs AI Consultants Can Prevent FINRA Fines for Supervision Failures

Read More

electronic communications, FINRA, FINRA 2210, communications with the public, SEC adviser consulting, investment adviser compliance, adviser compliance, broker dealer compliance Jay Proffitt 8/20/24 electronic communications, FINRA, FINRA 2210, communications with the public, SEC adviser consulting, investment adviser compliance, adviser compliance, broker dealer compliance Jay Proffitt 8/20/24

How GiGCXOs Can Ensure Firms Meet Electronic Communications Obligations with AI Tech

Read More