The SEC’s Division of Examinations has issued a risk alert regarding investment adviser annual compliance reviews.
September 15, 2026
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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.
September 03, 2026
Valuation of Illiquid Assets in Retail Alts Vehicles
Emerging risks to advisers entering the retail illiquid alts market and approaches to mitigate illiquids valuation risk.
September 03, 2026
Retail Alternative Investment Products: Gearing Up for New Allocations
A 2026 IAA Compliance Conference panel examined recent DOL and SEC regulatory developments intended to facilitate retail investor access to private markets.
August 04, 2026
IAA Webinar Recap: Retail Alternative Investment Funds Continue to Gain Momentum
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July 17, 2026
Preparing for an AI-Driven Future | 5 Tips for Compliance Professionals
Five practical tips for how compliance teams can prepare to implement artificial intelligence technology at an investment adviser.
July 16, 2026
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.
July 16, 2026
The New Regulation S-P Framework: Lessons Learned So Far
Early lessons from advisers that have implemented amended Regulation S-P, including mapping data and building out an incident response plan.
July 09, 2026