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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
23 Aug, 2023

SEC Charges Adviser for Misrepresenting Hypothetical Performance

On August 21, 2023, the SEC charged Titan Global Capital Management USA LLC (“Titan”), a FinTech investment adviser, with violations of the new Marketing Rule, among other violations.

SEC
09 Aug, 2023

SEC Fines 11 More Wall Street Firms For Off-Channel Communication Failures

Ten broker-dealers and one dual registrant were charged for off-channel communication failures. The firms will pay $289 mil penalties and were served a cease-and-desist order.

Flash Reports
28 Jul, 2023

SEC Proposes New Requirements to Mitigate Conflicts of Interest Associated With the Use of Predictive Data Analytics by Broker-Dealers and Investment Advisers

The SEC states a “covered technology” includes a broker-dealer or investment advisers’ “use of analytical, technological, or computational functions algorithms, models, correlation matrices, or similar methods or processes that optimize for, predict, guide, forecast, or direct investment-related behaviors or outcomes of an investor”.

CyberSecurity
27 Jul, 2023

SEC Adopts Cyber Risk Management Rule for Public Companies

On July 26th, 2023, the SEC adopted rules requiring public companies “to disclose material cybersecurity incidents they experience and to disclose on an annual basis material information regarding their cybersecurity risk management, strategy, and governance”.

Flash Reports
30 Jun, 2023

The SEC’s Proposed and Final Rules and Key Dates

the SEC’s proposed compliance- and cyber-related rules, including associated dates and links to the full rules.

CyberSecurity
20 Jun, 2023

SEC Fall Agenda and the Cyber Risk Management Rule

In October 2023, the SEC will finalize its Cyber Risk Management rule according to its fall agenda. The final regulation was initially expected to be released in April 2023, but that date was delayed due to the comment period reopening.

SEC Risk Alert on the New Marketing: Additional Areas of Focus for Examinations

EXAMS published a risk alert to inform investment advisers, including advisers to private funds, about areas of emphasis for examinations focused on Rule 206(4)-1 of the Investment Advisers Act of 1940.

CyberSecurity
30 May, 2023

Cybersecurity Requests in SEC Exams

A current cyber sweep exam is underway by the Division of Examinations. The request list includes multiple items that align with proponents of the proposed cybersecurity rule

SEC
15 May, 2023

SEC Risk Alert on Observations of LIBOR-Transition Preparedness

On May 11, 2023, the SEC’s Division of Exams (“EXAMS”) published a Risk Alert to remind registrants of the discontinuation of U.S. Dollar LIBOR after June 30, 2023. The Risk Alert also discussed firms’ practices to manage the transition.

Enforcement
11 May, 2023

The SEC’s First Enforcement of Liquidity Rule Violations

On May 5, 2023, the SEC announced its first-ever enforcement of the Liquidity Rule by charging Pinnacle Advisors LLC, an investment adviser, with “aiding and abetting Liquidity Rule violations” regarding one of its mutual funds.