News & Insights

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

SEC Adopts Rule Amendments to Regulation S-P to Enhance Protection of Customer Information

The SEC adopted amendments to Regulation S-P requiring broker-dealers, investment companies, registered investment advisors, and transfer agents to implement and maintain policies and procedures regarding an incident response program that are designed to detect, respond, and recover from unwarranted access or use of client information.

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2021 SEC Examination Priorities: What You Should Know

On March 3, 2021, the Division of Enforcement of the U.S. SEC (the Division) released its list of 2021 Examination Priorities.

SEC Requirement: Annual Amendment for Form ADV 2021

The SEC requires that investment advisers file a form ADV Annual Amendment within 90 days of the end of the fiscal year.

Six New Data Privacy Bills That Could Become Law in 2021

State mandated data privacy regulations are constantly evolving to meet the needs of the changing cybersecurity landscape.

Large Trader Compliance Risks For Investment Advisers and Broker-Dealers

Securities and Exchange Commission finds some large traders not even aware of Rule 13H or its requirements.

SEC Restores Investigative Powers for Senior Enforcement Staff

The Acting Chair of the U.S. SEC, Allison Herren Lee, announced that the regulator has granted investigative powers to the enforcement division.

NSCP Currents: Preparing for the LIBOR Transition and the Division’s LIBOR Exam

NSCP CURRENTS: Preparing for the LIBOR transition and the Division’s LIBOR Exam.

Lessons from the SolarWinds Breach to Enhance Your Cybersecurity and Vendor Management Programs

Remediation efforts have been underway for two months after the burgeoning SolarWinds attack. Findings indicated the breach affected around 1,800 companies.

Regulatory Freeze Could Bring Changes to New SEC Marketing Rule

On Jan. 20, 2021, President Biden’s first day in office, the White House issued a memorandum indicating a regulatory freeze.

SonicWall Issues and Retracts Alert of Hackers Exploiting Zero-Day Vulnerability Within SonicWall VPN

SonicWall, a company providing firewalls and other cybersecurity solutions, issued an alert indicating that it had found a probable zero-day vulnerability with its SMA 100 series products on Jan. 22, 2021.

Who is Gary Gensler? What New SEC Leadership Could Mean for Investment Advisers

President Biden recently named Gary Gensler as his pick to be the new chairman of the Securities and Exchange Commission.

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