News & Insights: SEC

SEC Risk Alert: Undisclosed Economic Conflicts of Interest

On June 9, 2026, the SEC Division of Examinations published the first Risk Alert of 2026. The Risk Alert is aimed at investment adviser conflicts of interest from compensation, revenue, or other economic benefits.

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  • SEC
  • 16 Jul, 2026

Settled Charges for Investment Adviser Representative for Failing to Disclose Conflicts of Interest

On July 13, 2026, the SEC announced settled charges against a former registered investment adviser representative (“IAR”) for failing to adequately disclose conflicts of interest in connection with advisory clients’ investments.
  • SEC
  • 09 Jul, 2026

SEC Forms New Retail Fraud Working Group

On July 7, 2026, the SEC announced the creation of the Retail Fraud Working Group designed to strengthen the Division of Enforcement’s efforts to identify and combat fraud targeting everyday investors. The group will focus on identifying offering frauds, pump-and-dump schemes, market manipulation, and breaches of duties to customers by investment advisers and broker dealers.

SEC Request Letter Could Signal Reg S-P Sweep

A recent SEC document request letter could be indicative of a long-predicted sweep of firms for the SEC to evaluate compliance with Amended Regulation S-P, according to at least one news outlet. Thirty items gleaned from a new SEC document request letter focus on cybersecurity protections and breaches.

SEC Institutes Order Against Firm for Breaching Fiduciary Duty and Undisclosed Conflicts of Interest

On June 8, 2026, the SEC announced settled charges against an investment adviser and its former CEO for breaches of fiduciary duty and other violations. According to the order, the firm failed to disclose conflicts of interest connected to investments it recommended to advisory clients. 

SEC Risk Alert: Undisclosed Economic Conflicts of Interest

On June 9, 2026, the SEC Division of Examinations published the first Risk Alert of 2026. The Risk Alert is aimed at investment adviser conflicts of interest from compensation, revenue, or other economic benefits.

Today’s the Day: Amended Reg S-P Compliance Deadline

After months of preparation, today’s the day: All smaller firms ($1.5B or less in AUM) must comply with Amended Regulation S-P by today, June 3, 2026. These firms now join the larger firms that began complying on December 3, 2025.

SEC Rescinds Gag Rule: Ending 50 years of No-Admit/No-Deny Settled Enforcement Actions

On May 18, 2026, the SEC rescinded the “no-admit/no-deny” policy under Rule 202.5(e), which stated that when the Commission imposes a sanction, it will not accept a settlement unless the defendant or respondent agrees never to publicly deny the allegations in the complaint or administrative order.

New Qualified Client Threshold Increases on June 29th: What this means for your Performance-Based Fees

The SEC issued a final order that adjusts the dollar amount thresholds for “qualified clients” under Rule 205-3 of the Investment Advisers Act. 

SEC to Raise Qualified Client Threshold for Performance-Based Fees

The SEC issued a notice of intent that would adjust for inflation the dollar amount thresholds under the Investment Advisers Act that permit investment advisers to charge performance-based fees to “qualified clients.”

SEC Guidance on Digital Assets: Is a Crypto Rulemaking Next?

The SEC and CFTC have released interpretive guidance on the application of the federal securities laws to crypto assets and transactions involving crypto assets. 

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