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.
The SEC’s Spring 2025 regulatory agenda outlines priorities across crypto oversight, disclosure simplification, private market access, and rule revisions.
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.
Discover the key updates your compliance program needs in 2025 to stay ahead of SEC scrutiny and protect your firm from costly missteps.
In this edition, we discuss the implications of the Supreme Court’s decision in SEC v. Jarkesy that limits the Commission’s use of in-house judges, two Texas federal district court judges issued stays blocking the implementation DOL’s Retirement Security Act and PTE 2020-02, and the SEC’s latest schedule for issuing various final Advisers Act rules. Enjoy!
Use our cheat sheet for updating your compliance program for 2024!