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
15 Dec, 2017

SEC Modifies Final Rule for Form N-PORT

The SEC has adopted a temporary final rule that will delay the compliance dates for filing a Form N-PORT.

Flash Reports
14 Dec, 2017

Adviser Charged with Defrauding Clients

the SEC charged a dually registered investment adviser and broker-dealer, with defrauding its clients and receiving $780,000 in ill-gotten gains.

Flash Reports
29 Nov, 2017

Department of Labor Announces 18-Month Delay of the Fiduciary Rule

The Department of Labor has announced that the applicability date of the Fiduciary Rule’s Best Interest Contract Exemption, the Principal Transactions Exemption and specific amendments to Prohibited Transaction Exemption 84-24 (PTE)s have been delayed from Jan.1, 2018, to July 1, 2019.

Flash Reports
02 Nov, 2017

SEC Charges Unregistered Fund Manager

Unregistered investment adviser and its principals charged with engaging a fund in conflicted transactions without providing disclosure to the investors.

Flash Reports
30 Oct, 2017

SEC Grants Relief to Broker-Dealers and Investment Advisers

The SEC released three no-action letters that will provide 30 months of relief under the Investment Advisers Act of 1940 for US broker-dealers under the second Markets in Financial Instruments Directive (“MiFID II”).

Flash Reports
19 Oct, 2017

Natural Disasters Emphasize Need for Business Continuity and Transition Plans

Advisers should prioritize the implementation of written business continuity and transition plan to minimize operational disruptions arising from natural disasters, data security breaches, and the departure of important personnel. To maximize the efficiency of the written business continuity and transition plan, advisers should focus on a variety of business components

Flash Reports
13 Oct, 2017

House Panel Passes Bill to Repeal DOL Fiduciary Rule

On October 12, 2017, the House Financial Services Committee passed the Protecting Advice for Small Savers Act of 2017 (the “PASS Act”), which would repeal the DOL’s Fiduciary Rule. This bill would keep fiduciary rulemaking under the SEC’s jurisdiction.

Flash Reports
12 Oct, 2017

RIA Examinations Expected to Rise by 25% Over Next 2 Years

Congress, SEC Chairman Clayton stated that the SEC is on track to increase the number of registered investment adviser (“RIA”) examinations by 20 percent in the fiscal year 2017 and by an additional 5 percent in the fiscal year 2018.

Flash Reports
11 Oct, 2017

SEC Spoofed Emails Used In Spear Phishing Attack

Cisco’s Talos Intelligence Group has identified a targeted cyber-attack focusing on specific organizations.

Flash Reports
27 Sep, 2017

SEC Creates Cyber Unit and Retail Strategy Task Force

On September 25, 2017, the SEC announced the creation of the Enforcement Division’s Cyber Unit and Retail Strategy Task Force.