News & Insights

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

2026 Examination Priorities Published by SEC Division of Exams

On November 17, 2025, the SEC’s Division of Examinations (“EXAMS”) published its 2026 Examination Priorities. The SEC’s fiscal year runs from October 1st to September 30th, and these annual priorities highlight practices and products viewed by EXAMS as presenting heightened risks to investors and the markets overall.

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SEC Charges Dual Registrant with Deficient Compliance Infrastructure

The SEC released an Administrative Order to Cease and Desist against a dually registered investment adviser/broker-dealer and its sole principal.  The SEC sanctioned these individuals for violations of the Investment Advisers Act of 1940 and the Securities Exchange Act of 1934.

SEC Charges Adviser for Lacking Cybersecurity Procedures

SEC charges broker-dealer for failure to provide adequate cybersecurity policies and procedures. Contact us for help developing SEC-compliant policies.

SEC Charges Broker with “Cherry-Picking”

The SEC charged a broker with allegedly misusing client account information to allocate gainful trades into their own accounts and unprofitable trades into client retirement accounts, also known as “cherry-picking.”

SEC Charges Adviser for Failures to Disclose Conflicts of Interest

SEC released its charges against an RIA for allegedly failing to disclose the compensation it received under an agreement with a third-party broker-dealer.

RIA Settles SEC Charges for Violations of Advisers Act and Custody Rule

According to the SEC, the adviser failed to “adopt and implement written policies and procedures reasonably designed to prevent violations of the Advisers Act.”

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.

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.

OCIE Releases List of Most Common Best Execution Issues Cited in Adviser Exams

On July 11th, 2018, the OCIE released a risk alert outlining the most common deficiencies cited in adviser examinations regarding best execution obligations.  The risk alert summarizes issues identified in deficiency letters from over 1,500 adviser examinations.

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.

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