Regulate THIS!

About Regulate THIS!

Welcome to Regulate THIS! a RIA-ly Unfiltered Podcast. Hosted by industry legend Leila Shaver, founder of My RIA Lawyer and Business Guru Tracie Behr. Join Leila and Tracie as they dive deep into the world of Registered Investment Advisors (RIAs), exploring the challenges, triumphs, and real stories behind the scenes. ”Regulate THIS!” provides a candid and insightful look at the RIA landscape, empowering listeners to navigate the complexities of regulation with confidence. Tune in for honest conversations and actionable insights that will transform the way you think about compliance and regulation in the financial advisory space.

Publisher

regulate this

Category

business

Language

en

Explicit

Yes

First episode

7 Mar 2025

Latest episode

16 Oct 2026

Latest episodes

35 episodes in the feed.

1. 

   16 Oct 2026

   SEC Exam Preparation: Proving Your Compliance Program Works

   What does it take to show that your compliance program works in practice? Leila Shaver and Tracie Behr discuss preparing for an SEC examination, documenting supervision, and connecting written policies to meaningful testing. In this episode: Building a compliance calendar around clear testing objectives Documenting email review, complaints, and supervisory follow-through Preparing for a mock examination Understanding the risks of generic compliance templates Learn more about My RIA Lawyer.

2. 

   3 Jul 2026

   Now What?

   Join Tracie & Leila in this part 2 episode of Regulate This! where they finish off the discussion of ” you don’t know what you don’t know”.

3. 

   19 Jun 2026

   You Don't Know What You Don't Know

   Tune into this series of Regulate THIS! Where Tracie & Leila take a deep dive into starting your business. You don’t want to miss out, these ladies will guide you on all the in’s and out’s of business, compliance, hiring, firing and everything in-between!

Reach and audience

Public platform figures. Ratings count people who left a rating, not total listeners.

Apple Podcasts (US)

5.0 / 5

1 ratings

Podcast Authority Score: 13 / 100

A composite of feed quality, social presence, YouTube performance and engagement. Read the methodology.

Quality

26

Social presence

0

YouTube

0

Engagement

0