SEC 2026 Exam Priorities – What Advisers & Broker-Dealers Must Know
December 1, 2025
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The SEC’s 2026 Examination Priorities demand attention from investment advisers and broker-dealers.
The SEC’s 2026 Examination Priorities demand attention from investment advisers and broker-dealers.
The SEC has brought enforcement actions against six entities that claimed to operate as investment advisers.
Advisers must renew state notice filings and IAR registrations through IARD. Key deadlines begin November 10, with payments due in December and final fees due January 23, 2026.
FINRA’s $25k fine proves FINRA Reg BI boilerplate policies are a regulatory target. This article breaks down the Alexander Investment Services case and explains why your firm needs specific, not generic, supervisory procedures to avoid sanctions.
The SEC’s Marketing Rule case against Meridian shows why advisers must verify claims and maintain strong compliance controls.
The SEC charged a private equity adviser for breaching its fiduciary duties due to improper fee and expense practices.
The Financial Crimes Enforcement Network (FinCEN) has postponed its AML rule for investment advisers until 2028 and may revise key elements.
Recent SEC enforcement actions against two Chief Compliance Officers (CCOs) serve as a stark reminder that CCOs can be held personally liable for misleading regulators during an examination.
Securities regulations are complicated, and failure to comply can be costly. Here are the top reasons to hire an RIA Compliance Firm
Mutual Fund Administrators SEC Compliance Consultants, Inc. can partner with Administrators to provide expert compliance solutions to fund clients, advisers, and sub-advisers. This allows Administrators