On October 23, 2026, the SEC’s Division of Examinations announced its exam priorities for fiscal year 2027. The exam priorities are announced each year to help promote and improve compliance and protect investors. The exam priorities also indicate what specific areas SEC examiners may be focusing on during upcoming examinations this year.
The U.S. Securities and Exchange Commission issued a number of proposing releases today, including one that would allow investment advisors to charge certain regulated funds performance-based compensation and that would…
The SEC’s Division of Examinations announced its 2026 exam priorities yesterday. These SEC exam priorities are announced each year to help promote and improve compliance and protect investors.
The SEC announced yesterday that it is formally withdrawing a number of rules that had been proposed over the past few years, including several that would have significantly impacted SEC-registered…
The SEC’s Division of Examinations (the “Division”) announced its 2025 exam priorities yesterday. These SEC exam priorities are announced each year to help promote and improve compliance and protect investors.…
Recently, the U.S. Treasury Department’s Financial Crimes Enforcement Network (“FinCEN”) issued a final rule, Anti-Money Laundering/Countering the Financing of Terrorism Program and Suspicious Activity Report Filing Requirements for Registered Investment…
Last year, the SEC adopted a new rule under the Securities Exchange Act of 1934 (“Exchange Act”) that requires institutional investment managers that meet or exceed certain reporting thresholds to…
Covered institutions like SEC-registered investment advisors will be required to create an incident response program as part of their written policies and procedures. This program must be reasonably designed to detect, respond to, and recover from unauthorized access to or use of customer information.
Last month, the SEC adopted amendments to Form PF. These amendments enhance the reporting requirements for certain SEC registered investment advisors that advise private funds. BACKGROUND Form PF is a…
Earlier this month, the SEC announced proposed amendments to Regulation S-P that would enhance the protection of customer information by requiring that investment advisers (as well as broker-dealers, investment companies,…