News & Insights

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

SEC Risk Alert: Undisclosed Economic Conflicts of Interest

On June 9, 2026, the SEC Division of Examinations published the first Risk Alert of 2026. The Risk Alert is aimed at investment adviser conflicts of interest from compensation, revenue, or other economic benefits.

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SEC Risk Alert: Undisclosed Economic Conflicts of Interest

On June 9, 2026, the SEC Division of Examinations published the first Risk Alert of 2026. The Risk Alert is aimed at investment adviser conflicts of interest from compensation, revenue, or other economic benefits.

Today’s the Day: Amended Reg S-P Compliance Deadline

After months of preparation, today’s the day: All smaller firms ($1.5B or less in AUM) must comply with Amended Regulation S-P by today, June 3, 2026. These firms now join the larger firms that began complying on December 3, 2025.

SEC Rescinds Gag Rule: Ending 50 years of No-Admit/No-Deny Settled Enforcement Actions

On May 18, 2026, the SEC rescinded the “no-admit/no-deny” policy under Rule 202.5(e), which stated that when the Commission imposes a sanction, it will not accept a settlement unless the defendant or respondent agrees never to publicly deny the allegations in the complaint or administrative order.

New Qualified Client Threshold Increases on June 29th: What this means for your Performance-Based Fees

The SEC issued a final order that adjusts the dollar amount thresholds for “qualified clients” under Rule 205-3 of the Investment Advisers Act. 

SEC to Raise Qualified Client Threshold for Performance-Based Fees

The SEC issued a notice of intent that would adjust for inflation the dollar amount thresholds under the Investment Advisers Act that permit investment advisers to charge performance-based fees to “qualified clients.”

Fidelity Fined for Failure to Enforce Cybersecurity Controls

Fidelity Brokerage Services has agreed to pay $1.25 million after it failed to enforce “appropriate cybersecurity controls” in 2024, leading to a significant data breach affecting approximately 77,000 customers, according to an announcement by Secretary of the Commonwealth of Massachusetts William Galvin on April 27. 

SEC Guidance on Digital Assets: Is a Crypto Rulemaking Next?

The SEC and CFTC have released interpretive guidance on the application of the federal securities laws to crypto assets and transactions involving crypto assets. 

SEC Proposes Rule to Reduce Form PF Filing

On April 20, 2026, the SEC and CFTC jointly proposed amendments to Form PF that would drastically reduce both the number of filers and the specific requirements for reporting that have expanded through prior amendments.

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.

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