News & Insights

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

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
02 Nov, 2022

CISA Issues Guidance on Numbers Matching and Phishing-Resistant Multifactor Authentication

The CISA published two fact sheets on October 31, 2022, outlining the dangers to accounts and systems when applying specific types of MFA.

Flash Reports
28 Oct, 2022

SEC Proposes New Rule on Outsourcing by Investment Advisers

On Wednesday, Oct. 26, 2022, the SEC proposed a new rule and amendments regarding the due diligence of service providers.

Flash Reports
28 Oct, 2022

Typosquat Campaign Mimics 27 Brands to Push Windows, Android Malware

A massive typosquat campaign has come to light with over 200 typosquatting domains impersonating 27 brands to push Windows and Android malware.

Flash Reports
11 Oct, 2022

Uber’s 2016 Data Breach Cover-Up Results in Former Security Chief’s Conviction

Joe Sullivan, former chief security officer for Uber, was convicted on federal charges related to a ransom payment he authorized following a 2016 security breach.

SEC Reopens Comment Periods for Cybersecurity, ESG, and More

In a surprising development, the U.S. Securities and Exchange Commission (SEC) announced that they would reopen the comment period on specific rulemaking releases between June 2021 and August 2022.

Flash Reports
06 Oct, 2022

Cybersecurity Awareness Month: Four Things You Can Do

Cyberattacks are now seen as the biggest risk to businesses. One of the best ways to combat these threats is for organizations to educate employees about cyber and data security.

Flash Reports
06 Oct, 2022

NSCP Currents: ESG Considerations for Investment Advisers

On May 25, 2022, the SEC proposed a rule and form amendments that would require disclosures concerning ESG practices by certain registered investment advisers.

Flash Reports
29 Sep, 2022

16 Wall Street Firms Charged by the SEC for Widespread Recordkeeping Failures

The SEC charged 16 firms for widespread and longstanding failures to maintain and preserve electronic communications.

Flash Reports
23 Sep, 2022

NSCP Currents: Evolving Cybersecurity Expectations: The SEC Proposes its First Comprehensive Cyber and Data Security Rules

The Proposed Cyber Rules codify the requirement for advisers to maintain comprehensive cybersecurity policies and procedures and adhere to certain disclosure and recordkeeping requirements.

Flash Reports
22 Sep, 2022

Failures to Safeguard Personal Information Costs Morgan Stanley Smith Barney $35 Million

On Sept. 20, 2022, the SEC charged MSSB regarding the firm’s failures to protect the PII of approximately 15 million customers over a five-year period.