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News & Insights: SEC

SEC
12 Jun, 2026
Jeremy McCamic

SEC Risk Alert: Undisclosed Economic Conflicts of Interest

On June 9, 2026, the SEC Division of Examinations published the first Risk Alert of 2026. The Risk Alert is aimed at investment adviser conflicts of interest from compensation, revenue, or other economic benefits.

Flash Reports
27 Oct, 2025

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.

Flash Reports
22 Oct, 2025

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.

Flash Reports
01 Oct, 2025

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.

Flash Reports
08 Sep, 2025

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.

Flash Reports
04 Sep, 2025

2025 Regulatory Agenda

SEC Chair Paul Atkins released a statement on Thursday, Sept. 4, 2025, announcing the Office of Information and Regulatory Affairs’ release of the Spring 2025 Unified Agenda of Regulatory and Deregulatory Actions.

SEC Abandons Plans to Close Los Angeles and Philadelphia Regional Offices

On August 25, 2025, the Fifth U.S. Circuit Court of Appeals remanded two rules adopted during the Biden administration, giving hedge fund associations a partial victory. The rules were not vacated. However, the Securities and Exchange Commission (“SEC”) must now review them in light of the court’s opinion.

Fifth Circuit Orders SEC to Review Short Selling Rules

CCO Charged for Backdating Annual Reviews, and Other Violations of the Advisers Act

On July 11, 2025, the SEC announced settled charges against a registered investment adviser (“RIA”), its CCO, and its president for creating backdated documents and producing them during an SEC examination; failing to adequately disclose conflicts of interest; and overbilling client accounts.

Trump Signs Executive Order Allowing 401(k) Investments in Alternative Assets

On August 7, 2025, President Trump signed an Executive Order seeking to allow 401(k) retirement plans to invest in alternative assets such as private equity, real estate, and cryptocurrencies.

CCO Charged for Altering Records Provided in SEC Examination

On July 15, 2025, the SEC announced settled charges against a CCO of a registered investment adviser for altering records and producing fictitious records in response to SEC examination requests for information.