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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.

SEC
18 Sep, 2018
Ellen Harvin

RIA Settles SEC Charges for Violations of Advisers Act and Custody Rule

According to the SEC, the adviser failed to “adopt and implement written policies and procedures reasonably designed to prevent violations of the Advisers Act.”

SEC
23 Jul, 2018

SEC Charges Investment Adviser for Misleading Retail Investors

The SEC charged a registered investment adviser and its CEO with distributing investor money in precarious investments and hiding the substantial commissions made in return.

SEC
19 Jul, 2018
Frank Watson

Three Investment Advisers Settle with SEC on Campaign Contribution Charges

Rule 206(4)-5 of the Advisers Act specifically prohibits investment advisers from providing advisory services for compensation to a government entity for two years after the adviser makes a campaign contribution.

SEC
18 Jul, 2018

SEC Charges Investment Advisers and Representatives for Violating Testimonial Rule

The SEC settled proceedings against two registered investment advisers, three investment adviser representatives and a marketing consultant for distributing advertisements containing testimonials on the internet.

SEC
09 Jul, 2018
Frank Watson

SEC Votes on Whistleblower Rule Amendments

The whistleblower program, established in 2010, was created to give individuals an incentive to report “high-quality tips” to the Commission.

SEC
18 Jun, 2018

SEC Charges Advisory Firm with Conflict of Interest Fine

The SEC announced that an investment adviser agreed to pay $8 million in civil penalty fees for failing to disclose conflicts of interest to its advisory clients.

SEC
05 Jun, 2018

SEC Orders Cease-and-Desist to Registered Investment Adviser for Multiple Violations of the Advisers Act

On June 4th, 2018, the SEC released its order instituting administrative and cease-and-desist proceedings against a registered investment adviser (“Respondent”) found to be in multiple violations of the Advisers Act.

SEC
14 May, 2018
John Marriott

SEC Charges Hedge Fund Adviser with Deceiving Investors by Inflating Fund Performance

The SEC announced its charges against a registered investment adviser for “inflating the value of private funds it advised by hundreds of millions of dollars.

SEC
13 Apr, 2018

SEC Office of Compliance Inspections and Examinations Releases Risk Alert: Most Frequent Advisory Fee and Expense Compliance Issues Identified in Examinations

OCIE released a compiled list of compliance issues relating to fees and expenses most frequently identified in deficiency letters sent to advisers.

SEC
09 Apr, 2018
Ellen Harvin

SEC Charges Investment Adviser for "Improperly" Registering and Violating Multiple Rules

According to the SEC, the principle, sole owner of an investment firm falsely claimed more than $100 million in AUM from 2012-2016 to meet the minimum eligibility requirement for SEC registration. The owner of the firm also made violations to the custody rule by failing to provide quarterly statements to clients and by failing to organize an annual surprise audit of assets.