Names Rule and Form N-PORT: SEC Issues FAQs, Proposes Changes
The SEC has proposed amendments to the Form N-Port reporting requirements, extended the compliance deadline for the mutual fund Names Rule related reporting, and issued four long awaited FAQs regarding the Names Rule.
February 20, 2026
Hedge Clauses Under the SEC Microscope, Again
SEC scrutinizing the use of hedge (liability limiting) clauses in retail advisory agreements with clients.
February 17, 2026
The SEC announced enforcement actions against two advisers in connection with hedge clauses, assignment, and custody language in advisory agreements.
January 29, 2026
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
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
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