News & Insights

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

SEC Webinar: Adoption of Amended Regulation S-P

The SEC announced it will host a webinar regarding the adoption of Amended Regulation S-P for large firms on Sept. 25, 2025, at 1:00 pm ET. The webinar is part of a series of three events regarding the amendments. The other two events, for transfer agents and small firms, will be announced at a later date.

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SEC Officials Comment on Evolving Proxy Voting Process

SEC Commissioner Elad Roisman and Director of the Division of Investment Management, Dalia Blass, spoke on the future of the proxy voting process.

Reminder: Annual Brochure Delivery Obligation

For Advisers with a fiscal year ending Dec. 31, the annual brochure delivery deadline is approaching on April 30.

Large Cash Flows versus Significant Cash Flows: Which is Which?

The GIPS standards define a large cash flow as the level at which the firm determines that an external cash flow may distort performance if the portfolio is not valued.

IARD and PFRD Systems Inaccessible 3 weekend in April

The SEC announced that the IARD and PFRD systems will be unavailable during three weekends in April, plus Good Friday.

BB&T Subsidiary Must Pay $5.7 Million After Policy Violation

The SEC ordered BB&T Securities to pay $5.7 million following Valley Forge Asset Management’s intentional overcharging of clients.

Best Practices for Meeting the Distribution Requirement

Global Investment Performance Standards (GIPS®) Provision 0.A.9. requires firms to make every reasonable effort to provide a compliant presentation to all prospective clients.

SEC Requirement: Annual Amendment for Form ADV 2019

 If your fiscal year ended December 31, you will be required to file an annual amendment to your Form ADV by March 31, 2019.

FINRA Releases Report on Selected Cybersecurity Practices

On December 20, 2018, the Financial Industry Regulatory Authority (FINRA) released a Report on Selected Cybersecurity Practices (the “2018 Report”).  In it, FINRA outlines five topics of focus.

OCIE Announces 2019 Examination Priorities

On December 20, 2018, the SEC’s OCIE announced its 2019 examination priorities.  Key areas include cybersecurity, anti-money laundering (“AML”) programs, retail investors (particularly seniors), and entities providing critical market infrastructure services.

ShareFile Accounts to Switch to Multi-Factor Authentication

The SEC’s Office of Compliance Inspections and Exams (“OCIE”) has announced that cybersecurity will continue to be a focal point for its examinations in 2019. 

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