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 Fines Private Equity Firm for Inaccurate Disclosures

The SEC charged a registered real estate private equity firm with executing a transaction between two funds (“Fund I” and “Fund II”) it advised on different terms than what was disclosed to the Fund I investor advisory committee (“Fund I IAC”).

SEC Updates Form ADV FAQs

On June 12, 2017, the SEC released new Form ADV FAQs to provide guidance on recent amendments made to the form. The additions to the FAQs are related to Items 1.I, 1.J, 5.D, 5.K, 7.B and Schedule R. The SEC also provided an update to Item 1.O of the Form ADV.

DOL Releases FAQ on Conflicts of Interest During the Transition Period

The Department of Labor has released an FAQ focused on the transition period after the June 9th implementation of the Fiduciary Rule and related prohibited transaction exemptions.

Legal Risks Associated with Cyberattacks

The recent ransomware attack that has affected over 100,000 organizations has emphasized how immense the potential impact can be on the financial services industry. Firms must protect their network from these threats through various technical lines of defense.

SEC Releases Risk Alert on Ransomware

On May 17, 2017, the SEC released a risk alert on a widespread ransomware attack, known as WannaCry, WCry or Wanna Decryptor.

SEC Amends Form ADV Part 1A and the Advisers Act

The SEC adopted amendments to Part 1A of Form ADV and the Investment Advisers Act of 1940 to better monitor various risks in the investment management industry.

SEC Takes Strict Stance on General Solicitations of Certain Regulation D Offerings

In a review of a FINRA disciplinary action, the SEC affirmed its zero-tolerance policy for general solicitations of specific Regulation D offerings.

CFA Institute Issues Guidance Statement on Broadly Distributed Pooled Funds

A broadly distributed pooled fund is defined as a fund which is publicly available to multiple investors without a minimum quantity of investors required.

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