The SEC announced enforcement actions against two advisers in connection with hedge clauses, assignment, and custody language in advisory agreements.
January 29, 2026
Featured IAA Today
SEC Holds Final Compliance Outreach Event for Regulation S-P
The SEC hosted an outreach event for small firms on changes to the rule and what to expect in exams.
January 29, 2026
IAA Regulatory Tracker: One Year In
We’re one year into the Trump administration and we continue to see significant changes in the regulatory landscape. This 7th edition of the IAA Tracker includes the most relevant regulatory...
January 20, 2026
The SEC Issues New Marketing Rule FAQs
SEC Marketing Rule FAQs addressing use of model fees and testimonials and endorsements disqualification provisions relating to self-regulatory organization final orders.
January 16, 2026
IAA Applauds SEC Proposal to Update Small Entity Definitions
SEC proposal to increase the AUM threshold that defines a “small entity” for investment advisers from $25 million to $1 billion.
January 08, 2026
SEC Under New Leadership: Changing Priorities and Continued Adviser Scrutiny
This article explores key developments and considerations for advisers navigating the evolving landscape in the SEC’s Division of Enforcement program since the arrival of SEC Chairman Paul Atkins in April 2025.
January 07, 2026
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.
January 05, 2026
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.
December 17, 2025