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When Texts Tell a Story: Compliance Lessons from a $750K FINRA Fine
broker dealer compliance, outsource broker dealer resources, outsource compliance, adviser compliance, ria compliance, gigcxos Jay Proffitt 2/10/26 broker dealer compliance, outsource broker dealer resources, outsource compliance, adviser compliance, ria compliance, gigcxos Jay Proffitt 2/10/26

When Texts Tell a Story: Compliance Lessons from a $750K FINRA Fine

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Revitalizing America’s Markets on its 250th Birthday
capital markets, broker dealer compliance, ria compliance Jay Proffitt 12/10/25 capital markets, broker dealer compliance, ria compliance Jay Proffitt 12/10/25

Revitalizing America’s Markets on its 250th Birthday

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The SEC Just Told You Its 2026 Exam Playbook. Are You Ready?
capital markets compliance, broker dealer compliance, outsource broker dealer resources, ria compliance, outsource compliance, gigcxos, finra, sec exams Jay Proffitt 12/8/25 capital markets compliance, broker dealer compliance, outsource broker dealer resources, ria compliance, outsource compliance, gigcxos, finra, sec exams Jay Proffitt 12/8/25

The SEC Just Told You Its 2026 Exam Playbook. Are You Ready?

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Why GiGCXOs Recommends Hadrius and Classification First AI
ria compliance, broker dealer compliance, outsource compliance, capital markets compliance, gigcxos, hadrius Jay Proffitt 11/25/25 ria compliance, broker dealer compliance, outsource compliance, capital markets compliance, gigcxos, hadrius Jay Proffitt 11/25/25

Why GiGCXOs Recommends Hadrius and Classification First AI

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Not All AI Is Created Equal For Compliance
outsource broker dealer resources, outsource compliance, broker dealer compliance, introducing broker compliance, ria compliance, compliance as a service Jay Proffitt 11/20/25 outsource broker dealer resources, outsource compliance, broker dealer compliance, introducing broker compliance, ria compliance, compliance as a service Jay Proffitt 11/20/25

Not All AI Is Created Equal For Compliance

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FINRA fines Ally Invest $850k over recordkeeping failures
FINRA, FINRA 2210, 17a-4, recordkeeping, archiving communications, electronic communications, surveillance, broker dealer compliance, ria compliance Jay Proffitt 11/18/25 FINRA, FINRA 2210, 17a-4, recordkeeping, archiving communications, electronic communications, surveillance, broker dealer compliance, ria compliance Jay Proffitt 11/18/25

FINRA fines Ally Invest $850k over recordkeeping failures

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