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.
Think Before You “Fix” It: CCO Missteps That Led to Personal Fines and Bars
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.
SEC Phishing—What’s happening — Who’s being targeted
SEC phishing scam targets small RIAs using fake emails from David Bottom. Learn how to spot red flags and protect your firm from pretexting attacks.
New FinCEN AML Rule Brings Investment Advisers Under Bank-Like Scrutiny
In a major regulatory shift, FinCEN has finalized its AML rule for investment advisers, aligning them with bank-level compliance under the Bank Secrecy Act.