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.

Citigroup Agrees to Pay $10.5 Million for Violating Books and Records Rule and Inadequate Internal Controls

From 2013 to 2016, the SEC found that three traders of Citigroup Global Markets Inc. The SEC released its charges against Citigroup for books and records violations, inadequate internal controls and poor trade administration.

Flash Reports
23 Jul, 2018

SEC Charges Investment Adviser for Misleading Retail Investors

The SEC charged a registered investment adviser and its CEO with distributing investor money in precarious investments and hiding the substantial commissions made in return.

Three Investment Advisers Settle with SEC on Campaign Contribution Charges

Rule 206(4)-5 of the Advisers Act specifically prohibits investment advisers from providing advisory services for compensation to a government entity for two years after the adviser makes a campaign contribution.

Flash Reports
18 Jul, 2018

SEC Charges Investment Advisers and Representatives for Violating Testimonial Rule

The SEC settled proceedings against two registered investment advisers, three investment adviser representatives and a marketing consultant for distributing advertisements containing testimonials on the internet.

SEC Votes on Whistleblower Rule Amendments

The whistleblower program, established in 2010, was created to give individuals an incentive to report “high-quality tips” to the Commission.

RIA Settles Charges of Multi-Million Dollar Scheme

A final consent judgment was entered against a Washington-based investment adviser (“Defendant”) after he misled more than 100 investors to invest in his funds by providing fraudulent information in breach of his fiduciary duty.

Flash Reports
18 Jun, 2018

SEC Charges Advisory Firm with Conflict of Interest Fine

The SEC announced that an investment adviser agreed to pay $8 million in civil penalty fees for failing to disclose conflicts of interest to its advisory clients.

Flash Reports
05 Jun, 2018

SEC Orders Cease-and-Desist to Registered Investment Adviser for Multiple Violations of the Advisers Act

On June 4th, 2018, the SEC released its order instituting administrative and cease-and-desist proceedings against a registered investment adviser (“Respondent”) found to be in multiple violations of the Advisers Act.

SEC Proposed Regulation Best Interest: Its Impact on Broker-Dealers

The SEC voted on a proposal known as Regulation Best Interest, a set of rules and interpretations intended to improve the quality and transparency of investors’ relationships with investment advisers and broker-dealers while protecting access to a variety of investment relationships and products.

SEC Charges Hedge Fund Adviser with Deceiving Investors by Inflating Fund Performance

The SEC announced its charges against a registered investment adviser for “inflating the value of private funds it advised by hundreds of millions of dollars.