SEC Division of Examinations Issues Risk Alert Highlighting Issues With Investment Adviser Annual Compliance Reviews
The SEC’s Division of Examinations has issued a risk alert regarding investment adviser annual compliance reviews.
IAA Files Comment Letter Supporting SEC Regulation E-Delivery Proposal
The IAA filed a comment letter strongly supporting the SEC’s proposed Regulation E-Delivery and recommending refinements to make the framework more evergreen, flexible, and operationally workable.
SEC Proposes to Rescind Pay to Play Rule
On September 3, 2026, the SEC proposed to rescind Rule 206(4)-5 under the Investment Advisers Act, its pay to play rule governing political contributions by investment advisers and their employees.
On July 16, 2026, the SEC proposed Regulation E-Delivery that would expand the ability of investment advisers, issuers, broker-dealers, and others to use electronic delivery to satisfy information delivery requirements under the federal securities laws.
2026 Regulatory Agendas Published
Federal agencies issue 2026 rulemaking agendas, including several potential new SEC rules.
Top Stories
- SEC issues risk alert on annual compliance reviews, Citywire
- SEC approves FINRA’s expansion of bulk order exception, Financial Advisor IQ
- Senate set for pivotal vote on Clarity Act, CNBC
- Report: Firms’ AI adoption focused on back-office tasks, Financial Advisor
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.
Follow Us On Social Media:
IAA Voices
Compliance Corner
