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.

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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Bookkeeping Service Considered Custody, Leads to Enforcement

The SEC recently settled an enforcement action against Financial Fiduciaries, alleging that the adviser had custody of client assets through a “dual employee” who served in various outside business activities.

SEC on-Pace to Examine 20% of Advisers

The steady increase in examination rates is due to an internal restructuring of resources that have allowed for approximately 100 staff members to be reassigned from broker-dealer and market oversight units to the investment advisors and investment companies division.

SEC Announces Share Class Selection Disclosure Initiative

The SEC launched a self-reporting initiative to protect advisory clients from undisclosed conflicts of interest and return money to investors.

Dodd-Frank Whistleblower Protection Narrowly Applicable

On Wednesday, February 21, 2018 the Supreme Court announced that whistleblower protections passed by Congress following the 2008 financial crisis only apply to those who report problems directly to the government. 

SEC to Increase Exam Funding for Fiscal Year 2019

The SEC proposed a 3.5 percent increase from the 2018 fiscal budget, for a total of $1.658 billion.

SEC Office of Compliance Inspections and Examinations Announces 2018 Examination Priorities

On Feb. 7, 2018, the SEC’s OCIE announced the 2018 examination priorities. The exam priorities are published to improve compliance, prevent fraud, monitor risk and implement policy.

SEC Charges Purported Hedge Fund Manager with Fraud

The SEC claims that since 2014 or earlier, the adviser collectively raised more than $5.3 million from at least six investors by misrepresenting the adviser’s prior money-management and industry experience.

Important Message from the SEC Regarding Annual Amendment Filing Deadline

Saturday, March 31st is the 90-day annual amendment deadline for Advisers with a Fiscal Year ending on December 31st, 2017. 

SEC Demands a Jury Trial for Two Investment Advisers Representatives Charged with Fraud

The SEC ordered a trial by jury to be held for alleged claims against two investment adviser representatives on charges of fraudulent and misleading use of their client’s funds while working for a large, well-known Financial institution in Massachusetts.

Investment Company Liquidity Risk Management Programs FAQs

The SEC’s Division of Investment Management has prepared a series of frequently asked questions to address the investment company liquidity risk management (“LRM”) program requirements implemented in October 2016.

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