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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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.

Investments in Certain Chinese Companies Restricted Under New Executive Order

The U.S. Securities and Exchange Commission issued a Risk Alert in response to an Executive Order regarding investments in certain Chinese companies.

Hackers Use Mimecast Certificate to Access Microsoft Accounts

On Jan. 12, 2021, the cloud-based email security and management provider Mimecast disclosed that one of its digital certificates was hacked.

The DOL’s New Fiduciary Rule Exemption: What You Should Know

DOL finalized its new fiduciary rule exemption to allow advisers to receive compensation for otherwise prohibited rollovers.

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