News & Insights

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

Flash Reports
03 Sep, 2026

2026 Fall Filing Preview

Fall filing season is here — and between Form PF, 13F, 13G, and three federal holidays, Q4 can get crowded. Here's your at-a-glance guide to what's due and when, so nothing catches your team off guard.

Flash Reports
08 Apr, 2020

SEC Updates Custody Rule FAQs to Address COVID-19 Concerns

The SEC updated FAQs on custody rule requirements in response to the pandemic.

SEC Issues Additional Relief and Guidance as COVID-19 Creates Obstacles

The SEC expanded on a recently released relief package to extend due dates for certain filings and documentation.

Flash Reports
17 Mar, 2020

COVID-19 UPDATE: How the SEC Continues Its Response Efforts

As efforts to contain the COVID-19 virus expand worldwide, the SEC remains focused on maintaining a fair and orderly market and continuing its operations. The Commission has transitioned most of its staff to work remotely and conducts remote exams and enforcement.

Flash Reports
04 Mar, 2020

How to Plan for a Pandemic

Health officials worldwide are monitoring a respiratory illness outbreak caused by a new coronavirus named COVID-19.

Flash Reports
21 Feb, 2020

Form CRS: The Latest Tips for Preparing – UPDATE!

On Feb. 11, 2020, the SEC released a new Frequently Asked Questions about Form CRS. Among other helpful information, the FAQs address that adviser affiliates of a registered adviser may jointly file a four-page Form rather than a two-page disclosure.

Flash Reports
06 Feb, 2020

SEC Requirement: Annual Amendment for Form ADV 2020

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

Flash Reports
31 Jan, 2020

What Does OCIE Look for When Examining Cybersecurity Practices?

The Commission published “OCIE Cybersecurity and Resiliency Observations,” which outlines effective cybersecurity practices utilized by recently examined firms.

SEC Comments on Emerging ESG Compliance Concerns

The SEC has increased its focus on socially responsible “environmental, social, and governance” funds, or ESG funds. In 2019, the amount of funds investing in ESGs nearly tripled compared to 2018, and there are no signs of the trend slowing down.

SEC Provides FAQs for Regulation Best Interest

The SEC released a set of Frequently Asked Questions for use by broker-dealers who are coming into compliance with the regulation.

Flash Reports
03 Jan, 2020

Proposed Changes to Accredited Investor Definition

The SEC proposed changes to the definition of an “accredited investor.” Until this point, the accredited investor definition has been limited to evaluating only an individual’s income or net worth. With the proposed changes, the Commission hopes to increase access to investments in private capital markets.