FinCEN Issues Final Rule to Postpone Effective Date of AML Rule to Jan. 1, 2028
The Final Rule confirms the exemptive order issued in August. FinCEN will now pursue rulemaking to revisit the rule’s substance in coordination with the SEC.
The SEC Issues New Marketing Rule Risk Alert Sharing Exam Observations
A December 16, 2025, Risk Alert discusses the SEC staff’s observations from examinations of investment advisers for compliance with the Marketing Rule, focusing on testimonials, endorsements, and third-party ratings.
SEC Publishes 2026 Examination Priorities
The SEC’s Division of Examinations announced its fiscal year 2026 examination priorities. The high-level focus remains consistent with last year’s priorities across three themes: adherence to fiduciary duty, compliance program effectiveness, and oversight of newly registered or never examined advisers.
IAA Tracker: Trump Administration Update — 9 Months In
Updated IAA tracker, regulatory developments for Trump Administration – nine months in.
Spring Regulatory Agendas Officially Published
Federal agencies issue Spring 2025 Reg Flex rulemaking agendas, including several potential new SEC rules.
Top Stories
- SEC marketing rule risk alert shares exam observations, Wealth Management
- SEC begins Reg S-P compliance checks immediately, Financial Advisor IQ
- Selig gains Senate confirmation to lead CFTC, FinanceFeeds
- Advisers see growing client interest in private markets, InvestmentNews
IACCP Certification & Training
The Investment Adviser Certified Compliance Professional (IACCP®) program is designed to advance investment adviser compliance as a profession.
See CalendarFeatured Video
At the 2024 Compliance Conference, a panel of legal experts shared insights they’ve gained from assisting advisers as they navigate the evolving legal landscape surrounding DEI.
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