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.
SEC’s Spring 2025 Regulatory Agenda: Familiar Themes, Expansive Scope
The SEC’s Spring 2025 regulatory agenda outlines priorities across crypto oversight, disclosure simplification, private market access, and rule revisions.
SEC Enforcement Update: Lessons on Compensation-Driven Conflicts
The SEC’s latest enforcement actions highlight the risks of compensation-driven conflicts and inconsistent disclosures.
SEC Action Highlights Compliance Risks in Fee and Expense Practices
The SEC charged a private equity adviser for breaching its fiduciary duties due to improper fee and expense practices.
FinCEN Delays AML Rule for Investment Advisers Until 2028, With Revisions Likely
The Financial Crimes Enforcement Network (FinCEN) has postponed its AML rule for investment advisers until 2028 and may revise key elements.