News & Insights

Check out our Flash Reports for the latest SEC- and compliance-related news, trends, and insights.

Smaller Advisers: Time to Comply with Amended Reg S-P

The final compliance deadline of Amended Reg S-P is finally here. For smaller entities, who manage less than $1.5B in AUM, there are less than two months until the June 3, 2026, deadline.

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Smaller Advisers: Time to Comply with Amended Reg S-P

The final compliance deadline of Amended Reg S-P is finally here. For smaller entities, who manage less than $1.5B in AUM, there are less than two months until the June 3, 2026, deadline.

DOL Proposes Alternative Asset Rule for 401(k) Plans

On Monday, March 30, 2026, the Department of Labor (“DOL”) proposed a rule that would establish a framework for expanding access to alternative investments in 401(k) retirement plans.

SEC Settles Cherry-Picking Case Involving Advisory Firm and Its CCO

The SEC recently settled an enforcement action against an investment advisory firm and its Chief Compliance Officer involving an alleged “cherry-picking” scheme.

SEC Enforcement Action for Valuation Practices of Private Fund Manager

On February 25, 2026, the SEC announced settled charges against an investment adviser for selling loans to private fund clients without determining whether those trades were at fair market value. Lack of a fair market value determination was contrary to the advisory agreements and other disclosures to private fund investors.

SEC Extends Form N-PORT Reporting for Names Rule and Publishes More Names Rule FAQs

On February 18, the SEC issued an extension of the compliance dates for Form N-PORT reporting related to the “Names Rule,” proposed new amendments to Form N-PORT reporting, and published new questions and answers on the Names Rule FAQ.

FINRA Enhancing Identity Verification Beginning May 11, 2026

FINRA is enhancing security on the FINRA Entitlement Platform by introducing identity verification through ID.me, which is certified to federal standards for identity verification.

ADA Accessible ADVs

Large financial institutions, such as intermediaries and wrap sponsors, are increasingly asking advisers to provide documents with higher-level accessibility conformance on institutional platforms.

SEC Enforcement Action for Hedge Clauses in Advisory Agreements

The SEC recently announced settled charges against two registered investment advisers (collectively, “Respondents”) for violations of the Advisers Act due to compliance failures in their investment advisory agreements. The order highlights the SEC’s continued focus on advisory contract provisions, particularly hedge clauses and assignment language, that may mislead clients on the adviser’s fiduciary duty or fail to comply with consent requirements for assignments.

Notepad++ Targeted in Software Supply Chain Attack

On February 2nd, 2026, the common text editor, Notepad++, shared an update to its initial announcement in December 2025 that it was the target of a software supply chain attack. According to the announcement, starting in June 2025, bad actors intercepted and redirected requests for updates to malicious infrastructure. These bad actors were then able to deliver malware through a software update channel that users trusted.

SEC Requirement: Annual Amendment for Form ADV 2026

Registered investment advisors (“RIAs”) and exempt reporting advisers (“ERAs”) will soon begin receiving automated reminder emails from the Investment Adviser Registration Depository (“IARD”) stating that the annual Form ADV amendment is due within 90 days of the firm’s fiscal year end.

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