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News & Insights: SEC

SEC
20 Jul, 2026
Jeremy McCamic

SEC Proposes New Electronic Delivery Framework for Required Investor Communications

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
29 Sep, 2022

16 Wall Street Firms Charged by the SEC for Widespread Recordkeeping Failures

The SEC charged 16 firms for widespread and longstanding failures to maintain and preserve electronic communications.

Flash Reports
23 Sep, 2022

NSCP Currents: Evolving Cybersecurity Expectations: The SEC Proposes its First Comprehensive Cyber and Data Security Rules

The Proposed Cyber Rules codify the requirement for advisers to maintain comprehensive cybersecurity policies and procedures and adhere to certain disclosure and recordkeeping requirements.

Flash Reports
22 Sep, 2022

Failures to Safeguard Personal Information Costs Morgan Stanley Smith Barney $35 Million

On Sept. 20, 2022, the SEC charged MSSB regarding the firm’s failures to protect the PII of approximately 15 million customers over a five-year period.

SEC Risk Alert on the New Marketing Rule: Act Now to Prepare

SEC examiners will conduct “a number of specific national initiatives” that focus on the new Marketing Rule.

SEC Charges Two Advisory Firms for Custody Rule Violations Among Other Violations

On September 9, 2022, the SEC charged several investment advisers who failed to comply with requirements regarding safekeeping client assets.

Flash Reports
13 Sep, 2022

The SEC’s Strategic Plan for 2022-2026 Fiscal Years

The SEC announced its plans for the 2022-2026 Fiscal Years with three primary goals, their sub-groups are posted in the SEC’s Draft FY22-26 Strategic Plan.

SEC Fines Adviser in Wrap Fee Program Dispute

On August 26, 2022, KAI. settled with the SEC for almost $900,000 following an order instituting administrative and cease-and-desist proceedings against KAI.

Flash Reports
31 Aug, 2022

The SEC Adopts New Amendments to its Whistleblower Program

On August 26, 2022 the SEC adopted two amendments to the rules guiding its whistleblower program, according to a press release from the SEC.

Flash Reports
17 Aug, 2022

SEC Charges 18 Defendants in International Scheme to Manipulate Stocks Using Hacked US Brokerage Accounts

The SEC charged individuals involved in a scheme in which dozens of accounts were hacked and used to purchase microcap stocks to manipulate the price.

Flash Reports
05 Aug, 2022

NSCP Currents: Using Litigation Releases as Case Studies: The SEC’s First Reg BI Case

The SEC’s First Reg BI Enforcement Action” by Brian Rubin, Issa Hanna and Andrew Mount provides an insightful analysis of the SEC’s first Reg BI case.