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.
November 18, 2025
IAA Tracker: Trump Administration Update — 9 Months In
Updated IAA tracker, regulatory developments for Trump Administration – nine months in.
October 31, 2025
Revolutionizing Alternatives: Navigating Fund Structures for Retail Investors
This article explores key Investment Company Act fund structures that enable retail access to alternative investments, highlighting their features, compliance obligations, and strategic alignment for fund managers navigating this evolving landscape.
October 22, 2025
On September 22, 2025, FinCEN published a proposed rule to amend the Investment Adviser AML Rule to delay its effective date by two years.
September 29, 2025
SEC Holds First Compliance Outreach Event for Regulation S-P
The SEC held a webinar on recent amendments to Regulation S-P that addressed the new requirements and potential areas of focus for examinations.
September 29, 2025
SEC Announces Compliance Outreach Events for Regulation S-P
The SEC has announced Compliance Outreach events on Regulation S-P, with the first scheduled for September 25 for large firms. The compliance date for large firms in December 3.
September 18, 2025
Form PF Gets Another Extension, to Oct. 1, 2026
The SEC and CFTC further extended the Form PF compliance date to October 1, 2026; SEC staff continuing its comprehensive review of the entire form, as directed by SEC Chairman Paul Atkins in June 2025.
September 17, 2025
IAA Tracker: Trump Administration Update – 7.5 Months In
Updated IAA tracker, regulatory developments for Trump Administration – seven and a half months in.
September 08, 2025
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