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News & Insights: SEC

SEC
20 Jul, 2026
Jeremy McCamic

SEC's New E-Delivery Rule: What RIAs Need to Know About Electronic Disclosure Delivery

On July 16, 2026, the SEC proposed Regulation E-Delivery (“Reg E-Delivery”), a new rule that would establish a comprehensive framework permitting, but not requiring, electronic delivery (“e-delivery”) as the default method for providing required disclosures and reports under the federal securities laws.

Flash Reports
13 Mar, 2024

SEC Exams Remain Focused on New Marketing Rule

This year, Securities and Exchange Commission (SEC) Exams will remain focused on the new Marketing Rule, as well as AI, according to Natasha Vij Greiner, deputy director of the SEC’s Division of Examinations, who recently spoke at the Investment Advisers Association (IAA) Compliance Conference in Washington, D.C.

Flash Reports
07 Mar, 2024

SEC Adopts Final Climate Disclosure Rules for Public Companies

On March 6, 2024, the Securities and Exchange Commission (SEC) adopted final climate disclosure rules for public companies and in public offerings, according to the SEC’s Press Release.

SEC starts 2024 with Charges Against More Firms for Off-Channel Communications Failures

On February 9, 2024, the SEC announced charges against five broker-dealers, seven dual registrants, and four advisers for recordkeeping violations related to electronic communications.

Flash Reports
30 Jan, 2024

SEC Requirement: Annual Amendment for Form ADV 2024

The SEC requires that investment advisers file a form ADV Annual Amendment within 90 days of the end of the adviser’s fiscal year. If your fiscal year ended Dec. 31, you will be required to file an annual amendment to your Form ADV by March 30, 2024.

Flash Reports
25 Jan, 2024

New Rule 13f-2 and Form SHO

Stay up to date on SEC and compliance-related news, including SEC exam topics, the SEC Marketing Rule, and more, with our News and Flash Reports.

Flash Reports
12 Dec, 2023

The SEC’s Updated, Aggressive Regulatory Agenda

On Wednesday, Dec. 6, the Securities and Exchange Commission (SEC) issued an updated regulatory agenda, which includes 12 investment management-related rule proposals that have yet to be adopted.

Flash Reports
04 Dec, 2023

Ransomware Group Turns to SEC after Victim Denies Payment

After a ransomware gang broke into the systems of fintech platform MeredianLink, the gang did something quite unprecedented: they called the regulators

Artificial Intelligence
21 Nov, 2023

SEC AI Sweep Exams

Artificial intelligence (“AI”) sweep exams may be on the horizon for 2024. An examination document reviewed by Ignites stated that the SEC asked at least one firm to provide information regarding its AI policies and procedures.

Flash Reports
16 Nov, 2023

SEC Releases FY 2023 Enforcement Results

On November 14, 2023, the SEC released its FY 2023 Enforcement Results. In FY 2023 results, the SEC included how many enforcement actions and standalone enforcement actions were filed along with the price of penalties, disgorgement, and amount returned to harmed investors.

Flash Reports
01 Nov, 2023

SEC Charges SolarWinds CISO

On October 30, 2023, the Securities and Exchange Commission (“SEC”) announced charges against SolarWinds Corporation and its chief information security officer, Timothy G. Brown. The charges were for a combination of fraud and internal control failures related to allegedly knowing about cybersecurity risks and vulnerabilities.