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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.

Compliance Year in Review 2024

Although total enforcement actions declined compared to the 2023 fiscal year, the Division of Enforcement obtained orders of $8.2 billion in financial remedies. This is the highest amount in SEC history.

SEC Risk Alert: Registered Investment Companies Examination Focus Areas and Document Requests

On November 4, 2024, the SEC Division of Examinations (the “Division”) published a Risk Alert to describe the examination process for advisers of mutual funds, ETFs, and other registered investment companies (“RICs” or “funds”); the selection and scope of such examinations; and observations on core focus areas for RICs, The alert also shares a list of the typical documents and information requested during such examinations.

CyberSecurity
05 Dec, 2024

FinCEN Alert on Fraud Schemes with Deepfake Media

On November 13, 2024, the U.S. Department of the Treasury’s Financial Crimes Enforcement Network (“FinCEN”) issued an alert to help financial institutions identify fraud schemes associated with the use of deepfake media (“deepfakes”) created with generative artificial intelligence (“GenAI”).

Flash Reports
04 Dec, 2024

Cryptocurrency Advocate Paul Atkins Selected to Chair SEC

President-elect Donald Trump announced today that he plans to nominate Paul Atkins to chair the SEC. Atkins will replace SEC Chair Gary Gensler.

NSCP Currents: Marketing Rule Charges for Testimonials and Endorsements, Third-party Ratings, and Substantiation

On September 9, 2024, the Securities and Exchange Commission (“SEC”) announced settled charges againstnine registered investment advisers for violations of Rule 206(4)-1 under the Investment Advisers Act of 1940(the “Marketing Rule”)

Flash Reports
21 Nov, 2024

SEC Gary Gensler to Step Down as Commission Chair

Gary Gensler will step down from his position as the 33rd Chair of the Securities and Exchange Commission (SEC) on January 20, 2025, at 12:00 p.m., according to the SEC’s November 21, 2024 press release.

SEC Charges for Endorsements, Hypothetical Performance and Green-Washing

On November 1, 2024, the SEC Division of Enforcements charged Wahed Invest, LLC (“Wahed”), a registered investment adviser, for violating the Marketing Rule.

Flash Reports
29 Oct, 2024

SEC Increases Focus on AI

The SEC’s Division of Examinations (“EXAMS”) will intensify its focus on artificial intelligence (AI) usage, according to its 2025 Examination Priorities, released last week.

Flash Reports
29 Oct, 2024

NYDFS Publishes Guidance on AI-Related Cyber Risk

On October 16, 2024, the New York State Department of Financial Services (“NYDFS”) published an industry letter (the “Guidance”) discussing the increasing reliance on artificial intelligence (“AI”) and its associated cyber risks. This is one of the most detailed state laws regarding cybersecurity.

CyberSecurity
25 Oct, 2024

2025 Cybersecurity Examination Priorities: Vendor Due Diligence, Incident Response Plans, and More

On October 21, 2024, the SEC’s Division of Examinations (“EXAMS”) published its 2025 Examination Priorities, which includes annual priorities viewed by EXAMS as presenting heightened risks to investors and markets overall.