News & Insights

Check out our Flash Reports for the latest SEC- and compliance-related news, trends, and insights.

Smaller Advisers: Time to Comply with Amended Reg S-P

The final compliance deadline of Amended Reg S-P is finally here. For smaller entities, who manage less than $1.5B in AUM, there are less than two months until the June 3, 2026, deadline.

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Fidelity Fined for Failure to Enforce Cybersecurity Controls

Fidelity Brokerage Services has agreed to pay $1.25 million after it failed to enforce “appropriate cybersecurity controls” in 2024, leading to a significant data breach affecting approximately 77,000 customers, according to an announcement by Secretary of the Commonwealth of Massachusetts William Galvin on April 27. 

SEC Guidance on Digital Assets: Is a Crypto Rulemaking Next?

The SEC and CFTC have released interpretive guidance on the application of the federal securities laws to crypto assets and transactions involving crypto assets. 

SEC Proposes Rule to Reduce Form PF Filing

On April 20, 2026, the SEC and CFTC jointly proposed amendments to Form PF that would drastically reduce both the number of filers and the specific requirements for reporting that have expanded through prior amendments.

Smaller Advisers: Time to Comply with Amended Reg S-P

The final compliance deadline of Amended Reg S-P is finally here. For smaller entities, who manage less than $1.5B in AUM, there are less than two months until the June 3, 2026, deadline.

DOL Proposes Alternative Asset Rule for 401(k) Plans

On Monday, March 30, 2026, the Department of Labor (“DOL”) proposed a rule that would establish a framework for expanding access to alternative investments in 401(k) retirement plans.

SEC Settles Cherry-Picking Case Involving Advisory Firm and Its CCO

The SEC recently settled an enforcement action against an investment advisory firm and its Chief Compliance Officer involving an alleged “cherry-picking” scheme.

SEC Enforcement Action for Valuation Practices of Private Fund Manager

On February 25, 2026, the SEC announced settled charges against an investment adviser for selling loans to private fund clients without determining whether those trades were at fair market value. Lack of a fair market value determination was contrary to the advisory agreements and other disclosures to private fund investors.

SEC Extends Form N-PORT Reporting for Names Rule and Publishes More Names Rule FAQs

On February 18, the SEC issued an extension of the compliance dates for Form N-PORT reporting related to the “Names Rule,” proposed new amendments to Form N-PORT reporting, and published new questions and answers on the Names Rule FAQ.

FINRA Enhancing Identity Verification Beginning May 11, 2026

FINRA is enhancing security on the FINRA Entitlement Platform by introducing identity verification through ID.me, which is certified to federal standards for identity verification.

ADA Accessible ADVs

Large financial institutions, such as intermediaries and wrap sponsors, are increasingly asking advisers to provide documents with higher-level accessibility conformance on institutional platforms.

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