Advisor Pleads Guilty in $160M Fraud as SEC Brings Parallel Enforcement Action
A recent $160M enforcement action highlights a recurring theme: advisors marketing high-risk, concentrated investments as “safe” while failing to disclose personal financial interests. Discover why the SEC is prioritizing private fund structures and conflict disclosures in 2026.
SEC Speaks 2026: Focus on Materiality and Investor Harm
At the 2026 SEC Speaks conference, leadership outlined a shift toward traditional financial materiality and introduced the ACT framework to streamline regulation.
SEC Enforcement Highlights Valuation Risks in Affiliated Loan Transactions
The SEC recently penalized a private credit adviser for failing to reassess the fair value of loans transferred from an affiliate during market disruptions.
Are you ready for a REG SP exam? It’s coming.
The SEC’s amended Regulation S-P compliance requirements introduce new incident response, customer notification, and vendor oversight obligations.
SEC Proposal Could Reframe How Regulatory Burden Is Evaluated for Most RIAs
The SEC’s 2026 enforcement action against FamilyWealth Advisers serves as a critical reminder for investment advisers.
SEC Proposal Could Reframe How Regulatory Burden Is Evaluated for Most RIAs
The SEC has proposed a major shift in how it defines “small” investment advisers, potentially raising the asset threshold from $25 million to $1 billion.
SEC3 Year End Take-Aways
As we close out 2025, we reflect on the regulatory developments, compliance challenges, and operational lessons that shaped the year for investment advisers.
SEC 2026 Exam Priorities – What Advisers & Broker-Dealers Must Know
The SEC’s 2026 Examination Priorities demand attention from investment advisers and broker-dealers.
SEC Files Actions Against Six Firms for Misstatements in Form ADV Filings
The SEC has brought enforcement actions against six entities that claimed to operate as investment advisers.
State Notice Filings and IAR Registrations
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 Latest Reg BI Fine Shows Why ‘Boilerplate’ Policies No Longer Work
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.
When Marketing Meets Compliance: Lessons from the SEC’s First Marketing Rule Case
The SEC’s Marketing Rule case against Meridian shows why advisers must verify claims and maintain strong compliance controls.