Oct 16, 202632 min
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...
business
Regulate THIS!
Hosted by regulate this · business · EN
About this Podcast:
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.
Pitch Analysis
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Contact path
Public web form
Booking probability
30%
Guest openness
Selective
80/100
Required Score
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What is Regulate THIS! about?
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.
What has Regulate THIS! covered recently?
Recent episodes include "SEC Exam Preparation: Proving Your Compliance Program Works" (16 October 2026, 32 minutes), "Now What?" (3 July 2026, 17 minutes), and "You Don't Know What You Don't Know" (19 June 2026, 22 minutes).
How often does Regulate THIS! publish?
Regulate THIS! publishes roughly every two weeks, with episodes averaging 24 minutes across 35 episodes.
How hard is it to get booked on Regulate THIS!?
Booking probability for Regulate THIS! is 30%, and the host is rated Selective on guests. Regulate THIS! requires a Pod Score of 80 or higher. Regulate THIS!'s contact route on record: public web form.
Who should pitch Regulate THIS!?
The strongest fits for Regulate THIS! are Investing & Wealth Management. Regulate THIS! has a business audience.
About the host
Regulate THIS! is a business podcast with 35 episodes published.
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Recent episodes
Our AI reads these to draft pitches. Use them as grounding for a pitch that cites a real guest and a specific topic.
Episode #33
Now What?
Jul 3, 202617 minS5Have you just launched your RIA? Wondering what you are missing? 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".
Episode #32
You Don't Know What You Don't Know
Jun 19, 202622 minS5Tune 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...
Episode #31
Stop Selling & Start Showing Up
May 15, 202637 minS4<p >Paul Winkler started out so broke he "couldn't pay attention" (his words, not ours) — and built one of Nashville's most respected RIAs by doing the one thing nobody else was willing to do: teach.</p> <p >In this...
May 1, 202627 minS4<p>Your CCO's resume looks impressive. But can they actually build a defensible compliance program, navigate an SEC exam, or implement policies that withstand regulatory scrutiny?</p> <p> </p> <p>Because when regulators...
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Apr 17, 202625 minS4<p>Your CCO's resume looks impressive. But can they actually build a defensible compliance program, navigate an SEC exam, or implement policies that withstand regulatory scrutiny?</p> <p> </p> <p>Because when regulators...
Apr 3, 202625 minS4What does a former SEC enforcement turned My RIA Lawyer senior attorney have to say?? Dive into Regulate THIS where Kenji Kawa joins to share what RIA's are getting wrong and right.
Mar 20, 202625 minS4<p >What does a former SEC enforcement attorney and Goldman Sachs VP know about regulatory exams that you don't?</p> <p > </p> <p >Everything. 🎯</p> <p > </p> <p >Kenji Kawa joins Regulate THIS! to share what...
Mar 6, 202642 minS4<p >Think your firm's compliance is "basic"? Think again. 👀</p> <p >In this episode, Leila and Tracie sit down with compliance officer Michaela — who started at the firm as an admin for all of three hours before being...
Feb 20, 202633 minS4<p >Amber Davis joins Regulate THIS! to talk about what actually happens during compliance testing—and what she finds when firms think they're compliant but really aren't. From email supervision gaps to advertising...
Episode #24
What's Ahead - 2026 Insights
Feb 6, 202625 minS0<p>Welcome back to another season of Regulate THIS! A RIA-ly Unfiltered Podcast.<br> <br> Join Tracie Behr & Leila Shaver as they share what's on the horizons for this podcast, along with some top business tips for...
Episode #23
A RIA-ly Unfiltered New Year
Jan 5, 20262 minS3<p>Thank you to everyone who has listened to Regulate THIS! in 2025.<br> As we plan out our 2026 content we can't wait to dive into even more unfiltered podcasts.<br> Are you ready?</p>
Episode #22
Succession Planning
Dec 12, 202526 minS0<p>Don't wait until it's too late. Work smarter NOT harder.</p> <p>On today's episode, join Tracie Behr and Leila Shaver as their dive into the world of succession planning.</p>
Episode #21
Regulate THIS! A ReAlLy Silly Podcast
Nov 27, 20251 minS3<p>Enjoy some silliness from Leila Shaver & Tracie Behr, have a happy and safe Thanksgiving.<br> Back to our regular content in 2 weeks!!</p>
Episode #20
Is AI Making Us Dumb?
Nov 14, 202528 minS3<p >Are we becoming too dependent on artificial intelligence?</p> <p >In this episode of Regulate THIS!, we tackle a question that's on every compliance professional's mind: Is AI making us smarter or just making us...
Episode #19
Trick or Treat?!
Oct 31, 20251 minS3<p >🍬 TRICK OR TREAT?</p> <p >TRICK: Thinking you can skip compliance training.</p> <p >TREAT: My RIA Lawyer has Compliance training covered with Compliance University!!</p> <p >Have a happy & safe Halloween, and if...
Episode #18
Human Resources
Oct 17, 202537 minS3<p >Let's talk about the stuff nobody wants to deal with until it blows up in their face: HR compliance.</p> <p >Hosts Leila and Tracie from My RIA Lawyer are getting real about employment contracts, non-competes...
Episode #17
Welcome to Season 3 - Horror Stories
Oct 3, 202529 minS3<p>Buckle up for Episode 1 or Season 3 of "Regulate THIS!" as Leila Shaver dives into the most cringe-worthy compliance horror stories from the RIA world. Whether you're a seasoned CCO or just launched your RIA, these...
Episode #16
Get Ready For Season 3 Of Regulate THIS!
Sep 5, 20251 minS2<p>Thanks so much for joining Leila & Tracie for Season 2 of Regulate THIS!! Tune into Season 3 starting in October. And don't forget to check out My RIA Lawyer's Youtube, Blogs, Compliance University and MORE!</p>
Episode #15
Business Planning 101
Aug 22, 202540 minS2<p>It's that time year again, September is the business planning month. Join Leila & Tracie as they deep dive into what YOU need to do to ensure your business is on track and you have a plan that will grow with you.</p>
Recent guests
Recent guests on Regulate THIS!. Study who booked and why before you pitch.
A
Amber Davis
Clinical Assistant Professor of Occupational Therapy, The University of Oklahoma
P
Paul Winkler
Paul Winkler, Inc.
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