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 Issues Risk Alert on Economic Conflicts of Interest
June 9, 2026 Risk Alert discussing the SEC staff’s observations from examinations related to investment advisers’ obligations concerning economic conflicts of interest and associated fee practices.
June 10, 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
Same Diligence, Different Emphasis | The Outlook for SEC Exams and Enforcement
With so much in flux in Washington, many investment advisers are wondering: Will the SEC exam and enforcement environment be changing under the new administration?
May 15, 2025
Additional Sample SEC Exam Letters Posted In IAA Resource Center
The IAA has posted several additional sample SEC examination letters in the Resource Center of our website.
April 10, 2025
2024 IAA Compliance Workshops – Cyber/Data Privacy, AI, Marketing
2024 IAA Compliance Workshops wrap-up and thank you to speakers.
December 10, 2024