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
Takeaways from SEC Compliance Outreach Program
Detailed takeaways from the SEC’s 2024 Compliance Outreach Program for investment advisers and investment companies.
November 11, 2024
SEC Publishes 2025 Examination Priorities
SEC’s 2025 examination priorities include fiduciary duty, effectiveness of compliance programs, cybersecurity, and artificial intelligence.
October 21, 2024
SEC Committee Focuses on Fiduciary
The SEC’s Investor Advisory Committee discussed fiduciary standards under SEC rules, ERISA, and state laws.
September 20, 2024
Bad Facts Create Good Law on Negligence Standard for Investment Advisers
Recent court decision SEC v. Rashid clarifies the negligence standard applicable to the anti-fraud provisions of the Advisers Act.
July 18, 2024
Changes to DOL’s Fiduciary Rule and Rollover Exemption
The DOL has finalized changes to its Investment Advice Definition and related prohibited transaction exemption (PTE 2020-02).
April 24, 2024
DOL’s Proposed Changes to Fiduciary Rule and Rollover Exemption – What You Need to Know
The IAA has recommended changes to the DOL’s proposed new Investment Advice Definition and related exemption PTE 2020-02.
January 02, 2024
DOL Proposes Updated Definition of Investment Advice Fiduciary
The Department of Labor (DOL) has issued a proposal to update the definition of an investment advice fiduciary under the Employee Retirement Income Security Act (ERISA). The updated definition of an investment advice fiduciary would apply when a financial service provider gives investment advice for a fee to retirement plan participants, IRA owners and others.
November 01, 2023
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