Most "2026 compliance guide" content circulating right now was written by AI, lightly reviewed, and shipped — including the headline SEC enforcement statistic several guides are currently repeating, without saying which of two different SEC metrics it's actually measuring. We built this one differently: every figure was checked directly against the primary regulatory release, not a secondary summary, and where a number needs context to be read correctly, we give it.

What's inside

01 Where SEC & FINRA enforcement actually stands in FY2025
02 What regulators are really watching in 2026
03 Why AI governance isn't a large-firm problem anymore
04 The Regulation S-P deadlines — including one already missed
05 Crossing $100 million: the state-to-SEC transition, explained
06 What actually changed in 2026 — and what didn't
07 Ten specific moves to make before year-end

Built for lean teams

No compliance department, no time to read a 40-page report. This is written for the person who is the founder, the CCO, and everything in between — sized and prioritized accordingly.

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This guide is provided by Compliers Consulting Services, LLC for general informational purposes and is not legal advice. All regulatory citations and figures reflect publicly available SEC, FINRA, and FinCEN sources as referenced in the guide and are current as of August 2026.