News & Insights

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

SEC
20 Jul, 2026
Jeremy McCamic

SEC Proposes New Electronic Delivery Framework for Required Investor Communications

On July 16, 2026, the SEC proposed Regulation E-Delivery (“Reg E-Delivery”), a new rule that would establish a comprehensive framework permitting, but not requiring, electronic delivery (“e-delivery”) as the default method for providing required disclosures and reports under the federal securities laws.

Open-End Funds: Proposed Amendments to Reporting and Disclosure Requirements

The SEC proposed a new set of amendments to mutual fund and exchange-traded fund disclosure requirements. The package includes, among other things, changes to visual presentation requirements and the disclosure framework for open-end fund shareholder documents.

Flash Reports
04 Aug, 2020

SEC Adopts Rule Amendments, Issues Guidance on Proxy Voting Process

The SEC adopted rule amendments and issued additional guidance on the proxy voting responsibilities of investment advisers and third-party proxy voting advice service providers. The new provisions aim to provide greater transparency to investors while minimizing the proxy voting process’s potential costs and operational burdens.

Flash Reports
28 Jul, 2020

Are You Taking Steps To Avoid Ransomware Attacks?

Earlier this month, the OCIE issued a Risk Alert which outlines best practices for maintaining a secure network; the CISA issued a similar alert addressing recent phishing and ransomware risks across the financial industry and beyond.

SEC Proposes Changes to Form 13F

Proposed amendments to Form 13F reporting. The changes would affect the filing threshold for institutional advisers and several other requirements.

LIBOR Transition Compliance Risks

On June 18, 2020, the OCIE announced an exam initiative and issued a subsequent Risk Alert about LIBOR transition preparedness.

OCIE: Private Fund Risk Alert

The OICE, released a Risk Alert that outlines recently observed compliance issues among private fund advisers. Over a third of SEC-registered advisers manage private funds, marking them as a special focus for OCIE.

Flash Reports
24 Jun, 2020

Our Firm Filed Form CRS – What Now?

Retail advisers and their service providers have put much time and effort into understanding, writing, and filing the initial Form CRS document. The requirements related to the Form do not stop once the filing is complete; several additional steps must be taken after submitting the form to the SEC.

Flash Reports
11 Jun, 2020

The CCPA Enforcement Date Is Approaching: What You Should Know

July 1, 2020, the California Consumer Privacy Act (CCPA) enforcement date is fast approaching. The original adoption of the regulations, on Jan. 1 of this year, contained a six-month enforcement delay.

Firm Misused MNPI, Ordered to Pay $1 Million

On May 26, 2020, the United States Securities and Exchange Commission released documentation detailing an enforcement action against a Los Angeles private equity firm and registered investment adviser, Ares Management, for its misuse of material nonpublic information (MNPI).

Flash Reports
27 May, 2020

Adviser Fined $60,000 for Custody Rule Violation

On May 22, 2020, the SEC published information on an enforcement action against a registered investment adviser. The firm was investigated, and subsequently disciplined by the SEC for violating the Custody Rule.