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.

Privacy
03 Mar, 2026
Jeremy McCamic

FINRA Adds ID.me Identity Verification: What Changes for Entitlement Platform Access

FINRA is enhancing security on the FINRA Entitlement Platform by introducing identity verification through ID.me, which is certified to federal standards for identity verification.

Flash Reports
12 Feb, 2026

Do Your Form ADV Disclosures Need to Be ADA-Accessible?

Large financial institutions, such as intermediaries and wrap sponsors, are increasingly asking advisers to provide documents with higher-level accessibility conformance on institutional platforms.

Flash Reports
12 Feb, 2026

SEC Targets Hedge Clauses in Advisory Agreements: Is Yours Compliant?

The SEC recently announced settled charges against two registered investment advisers (collectively, “Respondents”) for violations of the Advisers Act due to compliance failures in their investment advisory agreements. The order highlights the SEC’s continued focus on advisory contract provisions, particularly hedge clauses and assignment language, that may mislead clients on the adviser’s fiduciary duty or fail to comply with consent requirements for assignments.

CyberSecurity
03 Feb, 2026

Notepad++ Supply Chain Attack: What It Means for Your Software Update Policies

On February 2nd, 2026, the common text editor, Notepad++, shared an update to its initial announcement in December 2025 that it was the target of a software supply chain attack. According to the announcement, starting in June 2025, bad actors intercepted and redirected requests for updates to malicious infrastructure. These bad actors were then able to deliver malware through a software update channel that users trusted.

Flash Reports
28 Jan, 2026

Form ADV Annual Amendment Deadline 2026: What RIAs Need to File

Registered investment advisors (“RIAs”) and exempt reporting advisers (“ERAs”) will soon begin receiving automated reminder emails from the Investment Adviser Registration Depository (“IARD”) stating that the annual Form ADV amendment is due within 90 days of the firm’s fiscal year end.

CyberSecurity
26 Jan, 2026

FINRA Phishing Scam Alert: How to Spot the Fake Regulatory Emails

We have been notified of a recent phishing email campaign impersonating FINRA. Multiple firms have reported receiving emails that appear to be from FINRA, reference regulatory reporting requirements, and include attachments.

CyberSecurity
22 Jan, 2026

SEC’s Reg S-P Document Request List: What Examiners Will Ask For

On January 22, 2026, the SEC held its final webinar on Amended Regulation S-P. This webinar focused on compliance issues for smaller entities with less than $1.5 billion in assets under management.

3 Compliance Trends RIAs Should Watch in 2026

2026 will be one of constant changes for the SEC and regulatory professionals. As you surf these waves of change, here are three key predictions for Compliance Programs in 2026 to help keep you afloat.

New SEC Marketing Rule FAQs: Guidance on Testimonials and Model Performance

On January 15, 2026, the SEC updated its Marketing Rule FAQ with new guidance for model performance and disqualifying events for compensated promoters giving testimonials or endorsements.

CyberSecurity
14 Jan, 2026

SEC Hosts Final Reg S-P Webinar for Small Firms: Key Takeaways

The SEC has announced it will hold its final Amended Regulation S-P outreach event on January 22, 2026, at 11:00 AM ET, in anticipation of the upcoming June 3, 2026, compliance deadline for small firms.