News & Insights: SEC

2026 Examination Priorities Published by SEC Division of Exams

On November 17, 2025, the SEC’s Division of Examinations (“EXAMS”) published its 2026 Examination Priorities. The SEC’s fiscal year runs from October 1st to September 30th, and these annual priorities highlight practices and products viewed by EXAMS as presenting heightened risks to investors and the markets overall.

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SEC Proposes Change of RFA Small Business Threshold

On January 7, 2026, the SEC proposed amendments to the rules defining small entities for purposes of the Regulatory Flexibility Act (“RFA”).

SEC Risk Alert: Marketing Rule Violations for Testimonials, Endorsements, and Third-Party Ratings

the SEC Division of Examinations published the first risk alert of 2025. The risk alert provides additional information on compliance with the Marketing Rule.

SEC Order Delays Form SHO Deadline to 2028

On December 3, 2025, the SEC issued an order providing an exemption from compliance with the short position and short activity reporting rules. According to the order, compliance with Rule 13f-2 and Form SHO is now delayed until January 2, 2028.

Form SHO Deadline Approaches: Will It Be Delayed Again?

The first Form SHO filing was set to be due on Valentine’s Day 2025, but the SEC pushed back the deadline to February 17, 2026. Now, as large entities finalize Reg S-P preparations, and as all compliance programs complete annual IARD renewals, the question for 2026 is: will Form SHO be delayed again?

2026 Examination Priorities Published by SEC Division of Exams

On November 17, 2025, the SEC’s Division of Examinations (“EXAMS”) published its 2026 Examination Priorities. The SEC’s fiscal year runs from October 1st to September 30th, and these annual priorities highlight practices and products viewed by EXAMS as presenting heightened risks to investors and the markets overall.

SEC Reopens: What to Expect After the Shutdown

The longest government shutdown in U.S. History officially ended on November 12th. Government employees are back at work, and the SEC has reopened. However, it may take time for the SEC to return to normal operations.

SEC Returns to Simultaneous Review of Settlement Offers and Waiver Requests

On September 26, 2025, Chairman Paul Atkins announced a change in how the SEC evaluates settlement offers in enforcement actions that are accompanied by contemporaneous requests for SEC waivers from automatic disqualifications and other collateral consequences from the underlying enforcement action.

2026 IARD Annual Renewal Reminder

Every year at this time, Renewal Statements for advisers are posted in the IARD Portal. These fees are collected for system processing and jurisdiction-related renewals.

The SEC in a Shutdown: What Advisers Need to Know

Effective Oct. 1, 2025, the U.S. government is in a shutdown. During this time, the SEC will operate at a reduced capacity, meaning only essential staff will perform functions that are necessary to protect human life or property, or to prevent the loss of government assets.

SEC Charges Investment Adviser for Overcharging Management Fees to Private Funds

On August 15, 2025, the SEC announced charges against a Registered Investment Adviser for its management fee calculation practices for private fund clients. Each fund has a limited partnership agreement (“LPA”) that states the adviser is entitled to management fees and may receive transaction fees, including advisory fees, monitoring fees, and other fees, from portfolio companies.

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