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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.

Flash Reports
03 Sep, 2026

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.

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.

Flash Reports
18 Mar, 2025

Compliance Dates Extended for Amendments to Investment Company Act “Names Rule”

On March 14, 2025, the SEC announced that the compliance date for the amendments to the Investment Company Act or “Names Rule” will be extended six months to June 11, 2026.

Flash Reports
17 Mar, 2025

SEC No-Action Letter Clarifies 506(c) Exemption for Private Funds

The SEC recently issued a no-action letter with guidance on what constitutes “reasonable steps” to verify that a purchaser is an accredited investor.

SEC Charges Officers at Private Fund Manager for Misuse of Fund and Portfolio Company Assets

On March 7, 2025, the Securities and Exchange Commission (“SEC”) announced settled charges against a registered investment adviser, its former managing partner, and its former chief operating officer for misappropriation of private fund and portfolio company assets.

Enforcement
12 Mar, 2025

Director of SEC Division of Enforcement Loses Authority to Issue New Investigations Without Commission Approval

In a 3 to 2 decision, a final amended rule was passed by the Securities and Exchange Commission (“SEC”), removing the authority of the Director of the Division of Enforcement to issue formal orders of investigation.

CTA Beneficial Ownership Reporting Delayed, and Treasury Department Suspends Enforcement for U.S. Reporting Companies

After several preliminary injunctions were lifted it appeared that the CTA and its required reporting of beneficial ownership information were back on. In the announcement, FinCEN granted an additional 30-day extension to the reporting deadline, placing the new deadline on March 21, 2025.

Flash Reports
06 Mar, 2025

Trump Administration to Terminate Building Leases for Philadelphia and Los Angeles Regional Offices

the Securities and Exchange Commission (SEC) informed employees on March 3, 2025, via email, that the Trump administration is preparing to terminate the building leases for the regional SEC offices in Philadelphia and Los Angeles.

CyberSecurity
21 Feb, 2025

The SEC Unveils the Cyber and Emerging Technologies Unit

On February 20, 2025, the SEC announced the creation of the Cyber and Emerging Technologies Unit (“CETU”), replacing the existing Crypto Assets and Cyber Unit, in an effort to combat cyber-related misconduct and to protect retail investors from bad actors in the technologies space.

Enforcement
19 Feb, 2025

SEC Announces Record Quarter for Number of Enforcement Actions

The SEC announced on January 17, 2025, that they have filed a total of 200 enforcement actions in the first quarter of fiscal year 2025, including 118 standalone enforcement actions. The Division filed 75 actions in the month of October alone.

Form SHO Deadline Pushed Back to 2026

The SEC issued a press release on Friday, February 7th, with a decision to provide a temporary exemption from compliance with Rule 13f-2 and Form SHO reporting until 2026. As a result of the exemption, the first reporting period will now be January 2026