---
title: "Quarterly legal monitoring checklist"
slug: "regulatory-news-and-changes/quarterly-legal-monitoring-checklist"
section: "Regulatory news and changes"
description: "[ ] SEC broker dealer and small business capital raising notices; any compensated introductions or transaction services. [ ] Relevant state noncompete, emp"
internal_only: false
---

# Quarterly legal monitoring checklist

- [ ] SEC broker-dealer and small-business capital-raising notices; any compensated introductions or transaction services.
- [ ] Relevant state noncompete, employment and founder fiduciary developments.
- [ ] FTC reviews/testimonials and automatic-renewal rules; whether developments are *final*, *enjoined* or *proposed*.
- [ ] FinCEN BOI rule status, especially for foreign-registered entities.
- [ ] ICF ethics and sponsor/confidentiality obligations; check actual adviser affiliation.
- [ ] NIST AI risk updates and each supplier's current data terms.

**Publication control:** put a precise “last checked” date beside each regulatory claim, keep the original regulator link, and require legal review before describing a rule as binding in a named state.