One click from approval to distribution, and a larger shift in how the compliance function works Overview Listen The Ad Review to 4U Connector is Live. In this Red Oak chat, you’ll learn what the connector does, why removing the manual…
Austin, TX – June 17, 2026 – Red Oak, the only modern Compliance Connectivity Platform built for the financial services industry, has been named to the 2026 AIFinTech100. The recognition underscores Red Oak’s position as a trusted leader in compliance AI — where accountability and auditability matter as…
What FINRA’s 2026 Industry Snapshot reveals about the architectural choice ahead Overview Listen As financial services firms consolidate, the instinct is to consolidate their compliance tech stack too. But fewer vendors doesn’t mean better architecture. Drawing on the FINRA 2026…
Overview Watch Brian Rubin spent years inside SEC Enforcement and as Deputy Chief Counsel of Enforcement at NASD (now FINRA). He now represents firms in SEC and FINRA examinations as a partner at Eversheds Sutherland. In this Red Oak Fireside…
Overview Watch AI adoption in financial services isn’t slowing down. For SEC-registered advisers and broker-dealers, the question is to how to use AI responsibly within an existing regulatory framework. In a recent webinar, Red Oak Co-Founder and Chief Compliance Evangelist…
Webinars Red Oak Insights | AI in Financial Services: A Legal, Regulatory, and Enterprise View July 16, 2026 2:00 PM CT / 3:00 PM ET Former SEC and NASD (now FINRA) counsel. A Global Head of Distribution Compliance. A Compliance…
Red Oak, the only modern Compliance Connectivity Platform that connects every stage of content creation, review, distribution, and supervision for the financial services industry, hosted its first annual industry event, Accelerate, April 20-22 in Austin. The three-day summit drew hundreds of professionals from across…
Overview Watch Regulatory expectations are evolving quickly—and firms can’t afford to fall behind. In this webinar, Red Oak’s Cathy Vasilev leads a conversation with legal experts from Evershed Sutherland on three areas shaping compliance in 2026: AI governance, shifting SEC…
Austin, TX – February 19, 2026 – WealthBriefing announced today that Red Oak has been selected as a winner in the Innovative Compliance/RegTech Product category of the WealthTech Americas Awards 2026.The recognition underscores Red Oak’s leadership in modernizing compliance infrastructure for wealth and asset management firms. Determined by a prestigious panel…
Overview Watch AI is everywhere — but in compliance, prediction isn’t enough. Precision is required. In this AI That Answers to Compliance webinar, CTO Rick Grashel and Senior Product Marketing Manager Fletcher Stubblefield break down what truly makes AI Compliance-Grade.…
Veteran product leader brings deep experience driving growth and innovation Red Oak, the only modern compliance connectivity platform that connects every stage of content creation, review, distribution, and supervision for the financial services industry today announced the appointment of Kirk Sadler as…
Why compliance requires a fundamentally different approach to AI—and how Compliance-Grade AI™ delivers efficiency without introducing risk. Across financial services, AI adoption is no longer optional. Boards expect it. Executives are investing in it. Regulators are watching it closely. But…
Veteran revenue leader brings decades of experience scaling high-performance sales organizations in regulated financial services environments to the Red Oak team Red Oak, the only modern compliance connectivity platform that connects every stage of content creation, review, distribution, and supervision for the financial services industry…
Overview Listen As financial services compliance trends evolve in 2026, firms are facing new pressure to move faster without adding risk. Drawing on insights from across Red Oak, you’ll hear key trends from 2025 and learn why connected workflows, AI…
Overview Watch As regulators increase their focus on AI governance in compliance workflows, firms are being forced to take a closer look at how their AI tools actually operate. In this Red Oak Fireside Chat, CTO Rick Grashel explains how…
Overview Listen FINRA recently released its 2026 Regulatory Oversight Report, and AI was a major theme. Hear more about how Red Oak’s AI was built to stand up to the regulatory oversight FINRA is recommending in this quick chat. Critical Questions Powered by…
Overview Listen The FINRA Foundation’s newest National Financial Capability Study offers a snapshot of how U.S. investors are recalibrating their attitudes, information sources, and expectations. Listen to Red Oak’s perspective on the study in this quick chat. Critical Questions Powered…
Austin, TX – December 10, 2025 – Red Oak, the only modern compliance connectivity platform built for the financial services industry where content, review, distribution, and supervision work as one intelligent system, has been named to the RegTech100 list for…
Overview Listen The SEC has issued long-awaited clarity on whether personal service entities can receive transaction-based compensation. Hear Red Oak react to the news for Broker-Dealers and registered representatives. Critical Questions Powered by Red Oak Transcript Read the Blog Post…
Overview Listen FINRA’s new FINRA Forward initiative shows how deeply AI is reshaping compliance and market oversight. Hear Red Oak’s thoughts in this quick chat. Critical Questions Powered by Red Oak Transcript Read the Blog Post Earlier this year, FINRA announced the…
Overview Listen The SEC published its 2026 Examination Priorities this week. Red Oak is sharing what you need to know in this quick chat. Critical Questions Powered by Red Oak Transcript Read the Blog Post The SEC published its 2026 Examination…
Overview Listen Hear Red Oak’s key takeaways from the 2025 NSCP National Conference, including the compliance industry’s most pressing challenges, from shifting regulator relationships and looming leadership gaps to mounting burnout risks. Critical Questions Powered by Red Oak Transcript Read…
Red Oak, the only modern compliance ecosystem that connects every stage of content creation, review, distribution, and surveillance for the financial services industry today announced the appointment of Kirsten Newbold-Knipp as Chief Operating Officer. In this role, Newbold-Knipp will report directly to…
Red Oak, the only modern compliance ecosystem that connects every stage of content creation, review, distribution, and surveillance for the financial services industry, and MirrorWeb, a pioneer in compliance surveillance and archiving technology, today announced a strategic partnership that brings together Red…
Overview Listen The piece makes the case that AI innovation in compliance—especially in ad review—is moving away from building and training custom large language models. Instead of chasing slightly “smarter” models, it points out that today’s off-the-shelf LLMs are already…
Austin, TX – August 12, 2025 – Red Oak, the industry’s first and only Compliance Connectivity Platform, today announced its inclusion on the 2025 Inc. 5000 list of the fastest-growing private companies in America. This milestone marks Red Oak’s seventh…
Strengthens Senior Team to Scale Compliance Connectivity Platform and Deliver Greater Value to Financial Services Industry AUSTIN, TX, UNITED STATES, July 10, 2025 — Red Oak, the industry’s only Compliance Connectivity Platform, today announced the appointment of Allison Dancy as…
AUSTIN, TX, UNITED STATES, June 12, 2025 — Red Oak, the industry’s only Compliance Connectivity Platform, today announced key leadership transitions to strengthen its executive team, accelerate growth and deepen engagement with financial services clients. Current board member, Denise Wypiszenski…
Overview Listen This document from Red Oak offers a comprehensive checklist for compliance professionals to evaluate AI tools for advertising review. It highlights the importance of distinguishing true AI from basic keyword scanners and emphasizes that a suitable solution must…
A few months ago, we wrote about the common pitfalls firms encounter when adopting AI in compliance. At that time, Red Oak’s AI solution was still in beta. Today, our AI-driven compliance review tool is fully launched, and our clients…
In recent weeks, a critical vulnerability was exposed in a widely used third-party communication tool embedded within the supervision technology stack of some large players in our industry. This app — originally built for general messaging and later adapted for…
We just wrapped our 6th Annual Red Oak User Conference in Austin, and we’re still energized by the community, conversations, and breakthroughs that filled the room. With this year’s theme—“Branching Out, Deepening Roots, and Expanding Horizons”—we leaned into what’s ahead…
Austin, TX – [May 7, 2025] – Red Oak, the industry’s leading Compliance Connectivity Platform, today announced a major expansion to its Supervision Suite, extending coverage across all modern channels where business conversations are happening – from email and text…
Our team had a blast hitting the road for two of the biggest compliance events this spring—IAA’s Compliance Conference in DC and SIFMA’s C&L Annual Conference in Austin. Between packed sessions, great conversations, and even a late-night detour to see…
Austin, TX – April 07, 2025 – Red Oak, the leader in advertising compliance and marketing review software, announced today its acquisition of 4U Platform, the premier content distribution, engagement and analytics platform for the investment industry. This strategic combination…
On March 6, Red Oak joined up with compliance experts Suzanne Denby (AVP, Supervision and Suitability, HTK), Matthew Johnson (Director, Compliance & AML Officer, Kestra Financial), and James Cella (Red Oak Compliance) to discuss challenges and best practices for supervising…
Overview Listen An article titled “Common AI Pitfalls in the Financial Compliance Industry,” discusses the growing role of Artificial Intelligence in financial compliance and highlights potential challenges firms face when implementing AI solutions. It emphasizes that effective AI integration requires…
Overview Listen The provided text highlights the critical role of affiliate monitoring in modern digital marketing, emphasizing its importance for both regulatory compliance and business growth. It explains that while affiliate marketing offers significant benefits, it also presents compliance, operational,…
Overview Listen The provided text discusses the crucial role of social media compliance in the financial industry, highlighting the regulatory frameworks established by FINRA and the SEC. It explains that compliance involves ensuring transparency, accuracy, and accountability in all digital…
Overview Summary This guide outlines a nine-step process for firms to implement a Residential Supervisory Locations (RSLs) compliance program, effective June 1, 2024, under updated FINRA rules. It explains how certain home offices can now be designated as RSLs, moving…
Overview Summary The source provides an in-depth analysis of two new Financial Industry Regulatory Authority (FINRA) rules that significantly alter how firms supervise remote personnel and locations. FINRA Rule 3110.19 establishes criteria for designating a private residence as a Residential…
Overview Summary The source, an article titled “Compliance at a Crossroad: Preparing for Change Under the Incoming Trump Administration,” addresses the significant uncertainty facing compliance professionals in anticipation of a new presidential term. Written by Stephen Pope, Founder of Red…
Overview Summary A webinar hosted by Red Oak that focuses on helping financial firms navigate new FINRA regulations concerning Residential Supervisory Locations (RSLs) and remote inspections. The discussion features compliance experts who outline the requirements, challenges, and opportunities presented by…
