News & Insights

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

2026 Examination Priorities Published by SEC Division of Exams

On November 17, 2025, the SEC’s Division of Examinations (“EXAMS”) published its 2026 Examination Priorities. The SEC’s fiscal year runs from October 1st to September 30th, and these annual priorities highlight practices and products viewed by EXAMS as presenting heightened risks to investors and the markets overall.

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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.

Phishing Alert: Message Posing as FINRA Urging Time-Sensitive Document Review

We have been notified of a recent phishing email campaign impersonating FINRA. Multiple firms have reported receiving emails that appear to be from FINRA, reference regulatory reporting requirements, and include attachments.

SEC Shares Amended Reg S-P Initial Document Request List

On January 22, 2026, the SEC held its final webinar on Amended Regulation S-P. This webinar focused on compliance issues for smaller entities with less than $1.5 billion in assets under management.

3 Key Compliance Predictions for 2026

2026 will be one of constant changes for the SEC and regulatory professionals. As you surf these waves of change, here are three key predictions for Compliance Programs in 2026 to help keep you afloat.

SEC Adds Two New Marketing Rule FAQs

On January 15, 2026, the SEC updated its Marketing Rule FAQ with new guidance for model performance and disqualifying events for compensated promoters giving testimonials or endorsements.

SEC Webinar: Amended Regulation S-P Compliance for Small Firms

The SEC has announced it will hold its final Amended Regulation S-P outreach event on January 22, 2026, at 11:00 AM ET, in anticipation of the upcoming June 3, 2026, compliance deadline for small firms.

SEC Proposes Change of RFA Small Business Threshold

On January 7, 2026, the SEC proposed amendments to the rules defining small entities for purposes of the Regulatory Flexibility Act (“RFA”).

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