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
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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
2025 IAA Compliance Workshop Takeaways
Takeaways from 2025 IAA Compliance Workshops and thank you to speakers.
December 15, 2025
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