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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AI Dos and Don’ts

Although Artificial Intelligence (AI) brings tremendous opportunity, it also presents significant risk—particularly to those with access to sensitive client information and personally identifiable information (PII). 

Judge Stays DOL Fiduciary Rule: How to Prepare During Extended Litigation

On July 26, 2024, a U.S. judge ordered a stay of proceedings that blocked the Department of Labor (DOL) Fiduciary Rule from taking effect. The rule and the amended DOL PTE 2020-02 protection would have taken effect starting September 23, 2024.

The SEC Did Not Appeal Private Fund Reform Loss – What This Means for the Private Fund Rules

July 22, 2024, was the deadline for the SEC to petition the Fifth U.S. Circuit Court of Appeals to review its landmark decision that vacated the Private Fund Rules, and the SEC let this deadline pass. It appears the SEC will not attempt to relitigate the decision. 

T+1 SEC Examination Sweep

SEC registered advisers are beginning to see examination requests targeting recordkeeping, policies and procedures, training, and third-party agreements related to the shortened settlement cycle that came into effect on May 28, 2024.

The Jaresky Decision and Limiting Administrative Proceedings

On June 27, 2023, in SEC vs. Jaresky, the U.S. Supreme Court held that a jury trial is required under the Seventh Amendment in securities fraud cases brought by the SEC.

CrowdStrike Causes Globe Outages

CrowdStrike, a leading cybersecurity vendor, has caused a significant global IT outage affecting millions of computers using Microsoft Windows operating systems.

The SEC’s Updated Spring 2024 Regulatory Agenda

On July 8, the SEC issued an updated Spring 2024 regulatory agenda, which includes updated timing related to several key regulatory actions. This signals another busy few months for the SEC.

Supreme Court Overturns Chevron Deference

On June 28, 2024, the U.S. Supreme Court issued a landmark ruling overturning Chevron deference.  The 1984 Chevron case created a doctrine that required courts to defer to federal agencies in interpreting complex or ambiguous regulations.

SEC Applies Broad Scope of Regulation in Cybersecurity-Related Charges Against R.R. Donnelley & Sons

On June 18th, 2024, the SEC announced that R.R. Donnelley & Sons (RRD) agreed to pay over $2.1 million to settle disclosure and internal control failure charges relating to cybersecurity incidents and alerts in late 2021.

Amendments to QPAM Exemption Come Into Effect

On April 3, 2024, the Department of Labor (“DOL”) finalized amendments to the Prohibited Transaction Class Exemption 84-14 (“QPAM Exemption”) for Qualified Professional Asset Managers (“QPAM”).

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