News & Insights: Flash Reports

More than just the facts, Flash Reports provide context for what’s currently happening in the industry and translate that into what it means for your business.

SEC Updates Marketing Rule FAQ

On March 19, 2025, the SEC updated its Marketing Rule FAQ with new guidance on extracted performance and information on how to navigate the performance versus investment characteristic question.

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SEC Fines Adviser in Wrap Fee Program Dispute

On August 26, 2022, KAI. settled with the SEC for almost $900,000 following an order instituting administrative and cease-and-desist proceedings against KAI.

Division of Examinations Notice: Rule 206(4)-3 (Cash Payments for Client Solicitations) Rescission and your ADV Brochure

Investment advisers with references to cash solicitation arrangements in their Form ADV Part 2A Brochure under Rule 206(4)-3.

The SEC Adopts New Amendments to its Whistleblower Program

On August 26, 2022 the SEC adopted two amendments to the rules guiding its whistleblower program, according to a press release from the SEC.

The FTC’s Advance Notice of Proposed Rulemaking on Commercial Surveillance and Data Security

The Federal Trade Commission (FTC) published an advance notice of proposed rulemaking (ANPR) on commercial surveillance and data security practices.

Private Fund Examination Requests and Record-Keeping

EXAMS published the second ever risk alert aimed at private funds, which encouraged strengthening compliance programs and disclosed practices.

Apple Releases Security Updates Fixing Two Security Flaws That Allow Access to Hacking of Mac OS, iPad OS, and iOS

Apple released emergency security updates on Aug. 17, 2022, to fix two zero-day vulnerabilities that attackers were exploiting to gain access to Apple devices.

SEC Charges 18 Defendants in International Scheme to Manipulate Stocks Using Hacked US Brokerage Accounts

The SEC charged individuals involved in a scheme in which dozens of accounts were hacked and used to purchase microcap stocks to manipulate the price.

Proposed Amendments to Form PF

The SEC proposed amendments to Form PF that “are designed to provide greater insight into private funds operations and strategies”.

SEC Charges JPMorgan, UBS, and TradeStation for Deficiencies Relating to the Prevention of Customer Identity Theft

The SEC announced in a press release that it separately charged J.P. Morgan Securities LLC, UBS Financial Services Inc., and TradeStation Securities, Inc. for deficiencies in their programs to prevent customer identity theft.

SEC Examination Requests Regarding E-signatures

SEC’s Division of Exams staff have been requesting information on advisers’ use of electronic signatures. Find out what you need to know.

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