News & Insights

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

2026 Fall Filing Preview

Fall filing season is here — and between Form PF, 13F, 13G, and three federal holidays, Q4 can get crowded. Here's your at-a-glance guide to what's due and when, so nothing catches your team off guard.

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SEC Proposes Ending The Pay to Play Rule

On Sept. 3, 2026, the SEC proposed rescinding the Pay to Play rule, which restricts advisers from political contributions before advising government clients.

2026 Fall Filing Preview

Fall filing season is here — and between Form PF, 13F, 13G, and three federal holidays, Q4 can get crowded. Here’s your at-a-glance guide to what’s due and when, so nothing catches your team off guard.

What the SEC’s Proposed Crypto Asset Rules Mean for RIAs and Fund Managers

On August 18, 2026, the SEC proposed “Regulation Crypto Assets,” a new regulatory framework for certain investment contracts involving crypto assets (“covered investment contracts”).  The proposal follows the SEC’s March 2026 interpretive release addressing the application of federal securities laws to certain crypto assets and transactions, and represents another step in the SEC’s broader effort to establish clearer rules for crypto asset markets.
  • SEC
  • 13 Aug, 2026

FinCEN Ends Beneficial Ownership Reporting: Do You Still Need to File?

On August 11, 2026, the U.S. Department of the Treasury’s Financial Crimes Enforcement Network (“FinCEN”) issued a final rule that permanently removes all requirements for U.S. companies and individuals to report beneficial ownership information under the Corporate Transparency Act (“CTA”).

SEC Fee Calculation Enforcement Case: Lessons for Your Advisory Agreements

On July 31, 2026, the SEC settled charges against a New York-based registered investment adviser for calculating and charging advisory fees inconsistently with its advisory agreements and Form ADV Part 2A disclosures and for failing to implement written policies and procedures designed to ensure advisory fees were calculated correctly.
  • SEC
  • 06 Aug, 2026

SEC Creates New Accounting Fraud Unit: What It Signals for Your Compliance Program

On August 5, 2026, the SEC announced it is establishing a new specialized unit within the Division of Enforcement that is focused on financial reporting fraud cases as well as misconduct in the areas of accounting and auditing. 

EY Data Breach: A Reminder to Review Your Third-Party Vendor Risk

In a recent notice letter sent to clients, Ernst & Young (EY) disclosed a data breach involving a third-party service management platform that supports its tax-related client work.

SEC’s New E-Delivery Rule: What RIAs Need to Know About Electronic Disclosure Delivery

On July 16, 2026, the SEC proposed Regulation E-Delivery (“Reg E-Delivery”), a new rule that would establish a comprehensive framework permitting, but not requiring, electronic delivery (“e-delivery”) as the default method for providing required disclosures and reports under the federal securities laws.

ShareFile Security Alert: What RIAs Using Storage Zone Controllers Should Do

Data Breach Today released an article regarding Progress Software issuing a security alert urging organizations that use self-managed ShareFile Storage Zone Controllers to immediately shut down those systems due to a credible external security threat.
  • SEC
  • 16 Jul, 2026

SEC Settlement Over Undisclosed Conflicts: What It Means for Your IARs

On July 13, 2026, the SEC announced settled charges against a former registered investment adviser representative (“IAR”) for failing to adequately disclose conflicts of interest in connection with advisory clients’ investments.

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