News & Insights

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

Compliance Year in Review 2024

Although total enforcement actions declined compared to the 2023 fiscal year, the Division of Enforcement obtained orders of $8.2 billion in financial remedies. This is the highest amount in SEC history.

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Misleading Investor Newsletters: Firm Principal Charged by SEC for Omitting Facts

Recently fined adviser should have presented a more transparent review of failing portfolio companies in investor newsletters.

10 Takeaways From CFA Institute’s Guidance on Benchmarks for Firms

The 2020 Global Investment Performance Standards require firms to choose an appropriate total return benchmark for every composite and pooled fund.

Firm Principal Fined by the SEC for Supervisory Violations

Firm Principal Fined by the SEC for Supervisory Violations WHAT HAPPENED? Recently, the U.S. Securities […]

Compliance Considerations for RIAs and BDs Trading Digital Asset Securities

Digital assets continue to be a hot topic among regulators as these securities gain momentum in the marketplace.

The New Virginia Consumer Data Protection Act – What Does It Mean for My Firm?

On March 2, 2021, Virginia governor Ralph Northam signed into law the Consumer Data Privacy Act (CDPA), which will take effect in 2023.

How bad is the Microsoft Exchange attack, and should I be worried?

On Tuesday, March 2, 2021, Microsoft issued an uncommon “out-of-band,” or off schedule patch for Microsoft Exchange servers.

UPDATE: The SEC’s Marketing Rule is Officially Published – What Now?

On Friday, March 5, 2021, the U.S. Securities and Exchange Commission’s highly anticipated Marketing Rule was published in the Federal Register.

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.

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