In this 45-minute webinar, industry compliance experts from Essential Edge will walk through the SEC's and FINRA’s 2026 examination priorities and what they mean for RIAs and broker-dealers with Wealth Solutions Report. The discussion will highlight what’s changed, what regulators are emphasizing, and which firms and business areas are most likely to be examined. You'll gain clear, practical guidance on key regulatory themes including AI oversight, data privacy and Reg S-P, anti-money laundering, fiduciary standards, Reg BI, and emerging risk areas.

Sander Ressler, Co-Owner and Managing Director, Essential Edge

Sander Ressler, Managing Director of Essential Edge Compliance Outsourcing Services, LLC, has broad and deep expertise in compliance, supervision and operations – including more than 30 years of hands-on, frontline experience with broker-dealers and registered investment advisers. Sander began his career working for a regulator and subsequently served in senior compliance positions for financial services firms including American Express, American General Life Insurance, AIG, ING, and Société Générale S.A. He has led more than 20 regulatory examinations conducted by the SEC, FINRA and various state departments governing banking, securities, and insurance.

Since launching Essential Edge, Sander has assisted wealth management firms with a wide range of outsourced compliance-related services, such as updating written supervisory procedures, conducting branch office inspections, conducting AML and 3130 exams, and approving advertising, and electronic correspondence. While our newly hired President focuses on running the day-to-day operations of the firm, Sander is focusing on branding and business development.

Sander has been continuously sought out by numerous industry publications, including Investment News and wealthmanagement.com. He is a Regulatory & Compliance Affairs Columnist with Wealth Solutions Report, a leading B2B wealth management industry media outlet.

Sander has held the Series 3, 4, 7, 9/10, 14, 24, 53, 63 and 65 licenses.

He obtained his Bachelor of Science in finance from Florida State University.

When not working, Sander enjoys music, wordle, good food and time with his family – including his two rescue dogs.

In his role as President, Todd is overseeing the daily operations of the firm. In addition, he is expanding our services for Registered Investment Advisors.

Todd’s illustrious career spans more than three decades of work in the financial services industry for mutual fund complexes, institutional managers and retail in all types of legal structures and all asset classes. An experienced Chief Compliance Officer, General Counsel and Chief Operating Officer, Todd brings a strong background in all aspects of investment legal and compliance to his role as President. He has demonstrated strong competencies in technology, staff development and compliance program development, regulatory examinations, contract review and negotiations, and budget management.

His prior roles include CCO of CIBC Wealth Management, CCO of Invesco and, earlier in his career, Deputy GC, COO, CCO and Head of Product Development at AIG.

Todd has held Series 7, 26 and 63 licenses. 

He obtained his J.D. from Western New England School of Law and a B.A. from Fairfield University.

When not working, Todd enjoys serving as Chairman of the Board of Dancewave, a nonprofit based in New York City, playing golf, cooking and leading his local Wine and Debate group. 

Julius Buchanan, Editor-In-Chief, Wealth Solutions Report

As Editor in Chief, Julius Buchanan manages and directs the editorial team at Wealth Solutions Report, including strategy, content planning, writing and editing. Before entering financial services journalism, he practiced law at global firms such as Latham & Watkins LLP and Davis Polk & Wardwell LLP. He has also been a Director at Citi Private Bank, as well as a policymaker for the financial advisor industry and related sectors at the Monetary Authority of Singapore.

Wealth Solutions Report (WSR) is a B2B digital platform for insights, analysis and expert commentary on the most relevant and timely issues shaping the future of wealth management. WSR’s team of editors, research analysts and expert columnists deliver original and exclusive content that inspires and engages industry audiences from the most reputable thought leaders in wealth management.

WSR also provides news from across the wealth management industry, including weekly roundups of the top news in M&A, advisor transitions, executive appointments and strategic partnerships, as well as monthly roundups on the top news in wealthtech and investments.

WSR's team prides itself on its objectivity and independence in spotlighting actionable growth strategies, demystifying complex issues and showcasing the individuals and enterprises that are shaping the future of wealth management. It takes a positive and optimistic view of the wealth management industry. Its audience comprises advisors, C-suite leaders and executives across all spaces in the industry.

The SEC’s 2026 Exam Priorities: What To Know And How To Prepare