News & Insights

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

Flash Reports
03 Sep, 2026

2026 Fall Filing Preview

Fall filing season is here — and between Form PF, 13F, 13G, and three federal holidays, Q4 can get crowded. Here's your at-a-glance guide to what's due and when, so nothing catches your team off guard.

CyberSecurity
02 Jan, 2024

2024 Cyber and Data Security Program Checklist

As you finalize your goals and planning for 2024, make sure that your cyber and data security program is a key component of your plan. As regulatory requirements continue to change, and as online hackers become even more sophisticated, it is absolutely critical that your cyber and data security programs meet industry best practices.

Flash Reports
27 Dec, 2023

Year in Review

2023 was a busy year for the SEC. From the sweeping Private Fund Adviser Rules to the SEC’s proposed predictive analytics rules and more, investment advisers are in for a busy 2024 as well.

CyberSecurity
27 Dec, 2023

The Biggest Cyber Trends in 2024 to Prepare for Now

Cybersecurity is already topping the list as one of the greatest risks to businesses. 2024 will be no different—in fact, by the end of the coming year, the cost of cyber-attacks on the global economy is predicted to top 10.5 trillion. In addition to existing threats, artificial intelligence (AI) will continue to grow and evolve in the coming year, and businesses need to be prepared.

Flash Reports
21 Dec, 2023

Regulation S-P Overview

Regulation S-P became effective on November 13th, 2000, and requires financial institutions to provide notice to customers regarding the financial institution’s privacy policies; the condition under which they may disclose nonpublic personal information about consumers to nonaffiliated third parties; and provide an “opt out” method for consumers to prevent the financial institution from disclosing information.

Flash Reports
14 Dec, 2023

Reminder: Annual IAR Continuing Education Requirements

Time to ask IARs if they have completed annual Continuing Education (“CE”) requirements. Eleven states have continuing education requirements for Investment Adviser Representatives (“IARs”) with final effective dates. Even more jurisdictions have planned or passed a CE requirement for the future. Notices have already been sent to IARs with a CE requirement.

Flash Reports
12 Dec, 2023

The SEC’s Updated, Aggressive Regulatory Agenda

On Wednesday, Dec. 6, the Securities and Exchange Commission (SEC) issued an updated regulatory agenda, which includes 12 investment management-related rule proposals that have yet to be adopted.

Flash Reports
04 Dec, 2023

Ransomware Group Turns to SEC after Victim Denies Payment

After a ransomware gang broke into the systems of fintech platform MeredianLink, the gang did something quite unprecedented: they called the regulators

Artificial Intelligence
21 Nov, 2023

SEC AI Sweep Exams

Artificial intelligence (“AI”) sweep exams may be on the horizon for 2024. An examination document reviewed by Ignites stated that the SEC asked at least one firm to provide information regarding its AI policies and procedures.

Flash Reports
16 Nov, 2023

SEC Releases FY 2023 Enforcement Results

On November 14, 2023, the SEC released its FY 2023 Enforcement Results. In FY 2023 results, the SEC included how many enforcement actions and standalone enforcement actions were filed along with the price of penalties, disgorgement, and amount returned to harmed investors.

CyberSecurity
16 Nov, 2023

Stay Vigilant to Help Prevent Cyberattacks During the Holidays

Cybercrimes tend to increase during the holiday season, as malicious actors take advantage of the increased employee travel and distractions that are more common during the holiday season. To help protect from cyberattacks during the busy holiday season, the FBI and CISA compiled several recommendations that employees can take now to prevent from these kinds of attacks.